SCHWAB CHARLES CORP false 0000316709 0000316709 2023-04-06 2023-04-06 0000316709 us-gaap:CommonStockMember 2023-04-06 2023-04-06 0000316709 us-gaap:SeriesDPreferredStockMember 2023-04-06 2023-04-06 0000316709 us-gaap:SeriesAPreferredStockMember 2023-04-06 2023-04-06

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 OR 15(d)

of The Securities Exchange Act of 1934

Date of report (Date of earliest event reported): April 6, 2023

 

 

The Charles Schwab Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   1-9700   94-3025021

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

 

3000 Schwab Way

Westlake, Texas

   76262
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (817) 859-5000

N/A

(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))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

  

Trading
Symbols

  

Name of each exchange

on which registered

Common Stock - $.01 par value per share   SCHW   New York Stock Exchange
Depositary Shares, each representing a 1/40th ownership interest in a share of 5.95% Non-Cumulative Preferred Stock, Series D   SCHW PrD   New York Stock Exchange
Depositary Shares, each representing a 1/40th ownership interest in a share of 4.450% Non-Cumulative Preferred Stock, Series J   SCHW PrJ   New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 7.01 Regulation FD Disclosure.

On April 6, 2023, The Charles Schwab Corporation (the Company) released commentary with perspectives on the financial services industry from its Founder and Co-chairman and its Chief Executive Officer and Co-Chairman. This commentary is posted on the Company’s website, https://www.aboutschwab.com/updated-our-latest-perspective-on-industry-events.

Such information is being furnished pursuant to Item 7.01, and the information contained therein shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities under that Section. Furthermore, such information shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933.

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: April 6, 2023   THE CHARLES SCHWAB CORPORATION
    By:  

/s/ Peter Crawford

     

Peter Crawford

Managing Director and Chief Financial Officer
Charles Schwab (NYSE:SCHW-D)
Historical Stock Chart
From Oct 2024 to Nov 2024 Click Here for more Charles Schwab Charts.
Charles Schwab (NYSE:SCHW-D)
Historical Stock Chart
From Nov 2023 to Nov 2024 Click Here for more Charles Schwab Charts.