Current Report Filing (8-k)
October 20 2016 - 4:31PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d) of
T
he Securities Exchange Act of 1934
Date of
report (Date of earliest event reported): October 20, 2016
E*TRADE
Financial Corporation
(Exact
name of Registrant as Specified in its Charter)
Delaware
|
1-11921
|
94-2844166
|
(State or other jurisdiction
of incorporation or
organization)
|
(Commission File Number)
|
(I.R.S. Employer
Identification Number)
|
1271 Avenue of the Americas, 14th Floor, New York, New York
10020
|
(Address
of Principal Executive Offices and Zip Code)
|
(646) 521-4300
(Registrant’s Telephone Number, including
Area Code)
Not Applicable
(Former name or former address, if changed
since last report)
Check the
appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any
of the following provisions:
⃞
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
⃞
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
⃞
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
⃞
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
ITEM 2.02.
|
RESULTS OF OPERATIONS AND FINANCIAL CONDITION
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On October 20, 2016, the Company announced its third quarter earnings
for fiscal year 2016. A copy of the Company’s press release is attached
hereto as Exhibit 99.1 and incorporated by reference herein.
The information furnished shall not be deemed “filed” for purposes of
Section 18 of the Securities Exchange Act of 1934, or incorporated by
reference into any filing thereunder or under the Securities Act of 1933
unless expressly set forth by specific reference in such filing.
ITEM 7.01.
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REGULATION FD DISCLOSURE
|
Additionally, the Company published an updated version of its investor
presentation with data for the quarter ended September 30, 2016. The
presentation is available on the Company’s corporate website,
about.etrade.com
.
Investors should note that the Company announces material financial
information in SEC filings, press releases and public conference calls.
Based on guidance from the SEC, the Company may also use the Investor
Relations section of its corporate website,
about.etrade.com
, to
communicate with investors about the Company. It is possible that the
financial and other information posted there could be deemed to be
material information. The information on the Company’s corporate website
is not part of this document.
ITEM 9.01.
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FINANCIAL STATEMENTS AND EXHIBITS
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(d)
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Exhibits
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|
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99.1 Earnings Press Release, dated October 20, 2016
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SIGNATURES
Pursuant to
the requirements of the Securities Exchange Act of 1934, the registrant
has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Dated: October 20,
2016
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E*TRADE FINANCIAL CORPORATION
|
|
|
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By:
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/s/ Lori S. Sher
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Lori S. Sher
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Corporate Secretary
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