The values we apply to operating our businesscommitment, drive, skill and passionextend to our corporate social responsibility strategy, which weve named our purpose playbook. After submitting your request, you will receive an activation email to the requested email address. To print an sec document from secnet, select the document from the one of the lists identified in the paragraph above. The securities and exchange commission today charged an online brokerage and clearing agency specializing in options and futures as well as four officials at the firm and a customer involved in an abusive naked short selling scheme. Look at the official filing if you need to see what has been filed. All form types annual filings quarterly filings current reports proxy filings registration statements section 16 filings other date filing type filing description download view. Home sec filings research guides at harvard library. Sec filings all form types annual filings quarterly filings current reports proxy filings registration statements section 16 filings other correspondence date filing type reported by filing. The instructions are intended as general guidance and should not be relied on as definitive or a substitute for the edgar filer manual. In my previous job, i used file financial reports for many us companies. All form types annual filings quarterly filings current reports proxy filings registration statements section 16 filings other. On november 9, 2010, the company acquired substantially all of the assets of windward investment management, inc. Sec says disclose those perks and keep your manuallysigned. Schwab to acquire optionsxpress charles schwab online newsroom.
Ally invest, charles schwab, chase you invest trade, choicetrade, cobra trading, etrade, fidelity, firstrade, interactive brokers, just2trade, lightspeed, merrill edge, robinhood, sogotrade, speedtrader, td ameritrade, and tradestation. Here youll find links to a complete list of filings available through edgar and instructions for searching the edgar database. Securities and exchange commission reporting information. The charles schwab corporation is an american multinational financial services company founded and based in san francisco, california. Once a private company files a registration statement with the sec and completes the requirements for an exchange listing, it may list on a national exchange if it meets the exchanges requirements. The opinion did reject claims raised by both feldman and optionsxpress that the secs administrative law judges violate the appointments. Through the purpose playbook, we work hard to empower our teammates, equip our athletes, champion our communities and respect our playing field. Optionsxpress has a twotiered pricing structure for stock trades. In november 2010, the company acquired substantially all of the assets of windward investment management, inc. Further, one of optionsxpress customers, jonathan i. Select the filing type and date range you wish to view from the dropdown menus below. Sec filings top line link opens a search window which integrates with secplus, allowing you to search selected companies sec filings. An introduction to sec filings part ii promotion stock.
Download and view filings as a pdf, word doc or excel file. Here youll find links to a complete list of filings available through edgar and. The 10 q is a quarterly report that provides quarterly financial results. The optionsxpress brokerage platform provides active investors and traders trading too ls, analytics and education to execute a variety of investment strategies. Documents that you select on a keep list, filings list, registrations list, topical search results, noaction company list, watch screen, and exhibits list can be printed directly to the printer you specify. Additionally, schwab and optionsxpress are regulated by the commodities futures trading commission cftc with. In september 2011, optionsxpress became a whollyowned subsidiary of the charles schwab corporation. Mar 21, 2011 the union of our brands marks the beginning of a new era of capabilities and services focused on the retail investor. Saving the authentication document as a pdf file in.
Open notice from the sec of registration effectiveness in xls file. Commission sec over the failure to deliver securities traded in claimants account with respondent. Dec 04, 2018 the main filings of any us public company are the 10k or annual report, 10q or quarterly report, def 14a or proxy report, and the 8k or current events. Schwab is registered as a brokerdealer with the united states securities and exchange commission sec, the fifty states, the district of columbia and puerto rico. These filings will give you an excellent overview of the companys business, financial health, legal affairs, and management. Chicago time on may 24, 2007 at the allegro hotel, 171 w randolph st, chicago, illinois and at any postponements or adjournments thereof.
For questions about your former optionsxpress account, please contact us at 8004359050. Frontier communications corp ftr sec filing 10k annual. Unless specifically admitted in the statement of answer and counterclaim, respondent. The certificate of designations and the section 382 rights agreement were included by exhibit. May 26, 2016 optionsxpress is a solid and reliable online broker for stocks, options, futures, bonds, etfs and mutual funds. Oct 09, 2015 the sec recently charged a sports supplements and nutrition company with committing a series of accounting and disclosure violations, including the failure to properly report perquisites provided to its executives, as well as the failure to maintain manuallysigned signature pages of its electronic sec filings. Documents may currently be submitted to the sec via the edgar system in html, ascii, pdf or xbrl format. On july 1, registrant announced that it closed the acquisition of supplemental insurance provider national teachers associates life insurance co. Despite having slightly higher transaction costs compared to some discount brokers, we think optionsxpress comes out on top because it has no hidden fees, has great service, is constantly coming out with innovative features, and the fact that it has more than 40 free research and. After submitting your information, you will receive an email.
Denverbased musclepharm corp agreed to settle the charges, along with three. A filing with the securities and exchange commission sec that a company must submit when it is unable to file its 10 q on time. For the fiscal year ended december 31, 2011 commission. On july 1, registrant announced that its board of directors adopted a shareholder rights plan designed to protect the availability of the registrants net operating loss carryforwards under the internal revenue code. Sec enforcement quarterly individual deferred prosecution agreements. Sec filings research 101 lexis securities mosaic a streamlined search page makes finding filings easier any company, u.
Information about optionsxpress executive officers and directors is available in optionsxpress definitive proxy statement filed with the sec on april 15, 2010. Home home investor relations sec filings sec rss feed opens in new window. To optin for investor email alerts, please enter your email address in the field below and select at least one alert option. Proceed with caution since it announced its cooperation initiative four years ago, the sec touted deferred prosecution agreements dpas as a reward for culpable companies and individuals who have fully cooperated with the secs investigation of. Sec filings rss feed opens in new window select year. Schwab to acquire optionsxpress charles schwab online. Windward, an investment advisory firm that managed diversified investment portfolios comprised primarily of exchangetraded fund securities. The secs enforcement division alleges that the sham reset transactions impacted the market for the issuers.
Winston defends charles schwab subsidiaries in sec. Cfo and optionsxpress cfo, registered ox trading with the. Coop covering results of operations and financial condition and financial statements and exhibits. While known as one of the more pricey discount brokers, optionsxpress offers lower commissions rates for investors that trade more often on a per quarter basis. Jun 25, 2019 fortunately, these filings consist mostly of routine descriptions and disclosures that can be avoided, and this article will take a look at how to speedread these filings to quickly pull out the. You can obtain free copies of these documents from schwab and optionsxpress using the contact information above. Analyze up to 10 years of full 10k annual reports and quarterly 10q sec filings for frontier communications corp ftr using our online tools. Winston defends charles schwab subsidiaries in sec enforcement actions was added to your binder remove view my binder now add to binder in our continuing representation of the the charles schwab corp. After submission of the sec f orm nt 10q, the company must then file its 10 q within 5 days. It is clear, based on trading and cns records, that optionsxpresss execution of the customers buywrites did not close out the cns fails. In 2012, it expanded again by acquiring thomaspartners, an asset management firm. We are committed to supporting our teammates professionally and. Registrant announced that its board of directors set may 20, 2020, as the date of the 2020 annual meeting of shareholders.
On march 26, registrant announced an initiative to support increased flexibility for local power companies who are responding to urgent community and customer needs during the. As far is know, sec requires the companies to file the reports in xbrl format and hence you may not find the filings in pdf format. Companies were phased in to edgar filing over a threeyear period. The glossary of selected terms was included by exhibit. In order to keep the public informed, the sec edgar system provides a notification of paper. To receive notifications via email, enter your email address and select at least one subscription below. Open notice from the sec of registration effectiveness in pdf file. At each meeting of stockholders, the chairman of the board, if one shall have been elected, or, in his absence or if one shall not have been elected, the chief executive officer shall act as chairman of the meeting. The lower price applies for those that trade 9 times or more per quarter. Pdf format download opens in new window word format download opens in new window excel format download opens in new window date march 11, 2020 filing type form 4 filing description statement of changes in beneficial ownership download. Financials financials financials overview sec filings historical prices splits options. In optionsxpress comment letter responding to the cboes orf proposal, optionsxpress raised concern that the seven other exchanges offering options trading would soon seek their own fees to recoup regulatory costs. From at least october 2008 to march 18, 2010, optionsxpress, inc.
Terms and condition of use pdf file terms and condition of use print file. Use the online brokerage comparison tool to compare over 150 different account features and fees across 16 online brokers. Sec tosses enforcement claims against bank exec law360. Alibaba group will provide a hard copy of its annual report containing the audited consolidated financial statements, free of charge, to its shareholders and ads holders upon request. Mar 17, 2020 analyze up to 10 years of full 10k annual reports and quarterly 10q sec filings for express, inc. Compliance manual applicable to the firm, policies and procedures for individual business units, and. All pdf documents must be submitted alongside their html or ascii counterpart.
Apr 16, 2012 according to the secs order, the misconduct occurred from at least october 2008 to march 2010. This page provides links to pdf versions of sec public forms and many of the. The sec has adopted rules that permit companies and intermediaries e. Bwhich could result in significant fees for retail investors trading options. As illustrated in the chart below, the sec filed 686 enforcement actions in fy20, a. Additionally, schwab and optionsxpress are regulated by the commodities futures trading commission cftc with respect to the commodity. The investor relations website contains information about marriott internationals business for stockholders, potential investors, and financial analysts. The board of directors of optionsxpress holdings, inc.
682 333 33 612 1351 1352 235 1289 194 502 167 689 1396 556 745 410 692 1326 163 347 927 1192 1085 59 63 1316 1518 577 233 382 1394 1466 668 1124 619 1114 535 1481 758 1162 566 318 424 1167 180 1013 799 73