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E Trade Financial Corp. 
 VA
  SEC # 1015780


        
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1,903  SEC Filings
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  from  6/7/96  to  10/13/20  (None in the Past Year)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘15-12B’ — Certification of a Termination of Registration of a Class of Securities — Form 15 — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  E Trade Financial Corp. 

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Forms
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, Documents
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& Exhibits
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 in  832 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
10/13/20 OLD15-12BRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
10/6/20 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 26
10/2/20 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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344

8-K Items: 
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2/21/20 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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26
12/4/07 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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1
10/2/20 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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3
7/23/20 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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68
7/16/08 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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2
10/2/20 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 1
8/26/09 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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8
10/2/20 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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5
10/2/20 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD 1
10/2/20 OLD"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers
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66
10/2/20 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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14
10/24/08 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD  — ‘EX-14’
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3
7/17/20 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 12
7/23/20 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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87
10/2/20 OLD
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  Events: 
Other Events — Item 8.01  OLD 84
10/2/20 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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169

8/5/20 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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75
7/17/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 18
6/12/20 OLDDEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
3/24/20 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 19
3/24/20 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 27
2/19/20 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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30
6/29/18 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 19
6/13/18 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 18
6/11/18 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 14
6/11/18 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 19
2/21/18 OLDS-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-3  OLD 8
2/22/17 OLDPOSASRRegistration:  Post-Effective Amendments of Automatic Shelf Registration Statements — Form S-3/F-3ASR  OLD 2
4/7/15 OLDARSUpdate:  Annual Reports to Security Holders  OLD 3
5/7/14 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 3
11/13/13 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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17
3/15/13 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 8
3/8/12 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 5
5/16/11 OLDPOS EXRegistration:  Post-Effective Amendment of a Registration Statement – Additional Exhibits  OLD 1
4/25/11 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 39
9/23/09 OLD424B7Registration:  Prospectuses – Selling Security Holders – Info Previously Omitted  OLD 5
7/21/09 OLDT-3Registration:  Applications for Qualifications of Trust Indentures — Form T-3  OLD 2
7/6/09 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD 1
6/17/09 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 7
3/12/09 OLD40-APPRegistration:  Applications for Exemption Orders and Other Relief by Investment Companies  OLD 2
2/15/08 OLDNO ACTSEC:  SEC No-Action Letter re: a Shareholder Proposal  OLD 1
1/28/08 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 5
4/9/07 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 13
12/27/06 OLDCERTNASTrading:  Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD 1
12/26/06 OLD25Trading:  Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD 1
2/6/06 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 45
12/9/05 OLDS-4Registration:  Registration Statements – Securities for Mergers — Form S-4  OLD 11
11/21/05 OLDCERTNYSTrading:  Certification by the NYSE Approving a Listing — Form CERT  OLD 1
5/31/05 OLDPOS AMRegistration:  Post-Effective Amendments of Registration Statements  OLD 22
8/3/01 OLDSC TO-TOwnership:  Tender-Offer Statements by Third Parties — Schedule TO  OLD 5
2/14/01 OLD10-QTUpdate:  Quarterly-Transition Report — Form 10-Q  OLD 1
5/25/99 OLDDEFR14AProxy:  Definitive Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
5/24/99 OLDDEFS14AProxy:  Definitive Proxy Statements – Special Meetings — Schedule 14A  OLD 2
5/6/99 OLDPRES14AProxy:  Preliminary Proxy Statements – Special Meetings — Schedule 14A  OLD 2
8/20/97 OLDS-1MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD 1
8/18/97 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD 7
8/16/96 OLDS-2MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-2 Registration  OLD 1

General Exhibits: 
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10/2/20 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 34
10/2/20 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 77
2/21/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 12
2/19/20 OLDEX-23Consents of Experts and Counsel  OLD 167
2/19/20 OLDEX-10Material Contracts  OLD 165
2/19/20 OLDEX-21Subsidiaries Lists  OLD 25
6/29/18 OLDEX-5Opinions of Counsel re: Legality  OLD 79
6/20/18 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 24
2/21/18 OLDEX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD 23
2/26/13 OLDEX-14Code of Ethics  OLD 1
6/4/01 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 3
3/12/97 OLDEX-20Other Documents and Statements Furnished to Security Holders  OLD 3

Additional Exhibits: 
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10/2/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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302

Financials: 
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10/2/20 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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3,383
10/2/20 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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68
10/2/20 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 304
10/2/20 OLDJSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  OLD 27
10/2/20 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
61
8/5/20 OLDEX-31Certifications — §302 – SOA’02  OLD 144
8/5/20 OLDEX-32Certifications — §906 – SOA’02  OLD 72
2/21/18 OLDEX-12Statements re: Computations of Ratios  OLD 32
12/7/07 OLDEX-100.*XBRL Data {Voluntary}  (XBRL Files)  OLD 10
2/12/01 OLDEX-16Letters re: Changes in Accountants  OLD 2
11/9/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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25
12/23/97 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 8
6/7/96 OLDEX-15Letter re: Unaudited Interim Financial Info  OLD 1

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10/2/20 OLDGRAPHICPhotos, Images and Graphs  OLD 1,451


Forms
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, Documents
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& Exhibits
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 in  1,094 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
10/8/20 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 83
10/5/20 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 848
10/2/20 OLD25-NSETrading:  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities — Form 25  OLD 2
7/17/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 20
1/27/20 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 65
6/11/18 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 14
3/15/13 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 35
9/21/09 OLD144Ownership:  Notice of a Proposed Sale of Securities by an Insider — Form 144  OLD 1
2/9/07 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 6

Letters: 
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1/16/14 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC20

General Exhibits: 
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5/12/20 OLDEX-24Powers of Attorney  OLD 91
2/21/20 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1

Additional Exhibits: 
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10/2/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 126

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7/17/20 OLDGRAPHICPhotos, Images and Graphs  OLD 44


        

Filings History

Year    # of Filings
In descending order
2020 177
2019 127
2018 95
2017 79
2016 70
2015 73
2014 66
2013 67
2012 69
2011 90
2010 68
2009 135
2008 121
2007 65
2006 96
2005 113
2004 66
2003 79
2002 36
2001 80
2000 40
1999 40
1998 20
1997 20
1996 11

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