SCHW — what changed in the latest 10-Q

Text added vs the prior filing · source: 10-Q · 2026-05-08

• •Industry and competitive trends including artificial intelligence, digital assets, private company securities and other alternative investments;

• •The Company’s rollout of trading in select cryptocurrencies (see Overview in Part I – Item 2);

• •The integration of Forge Global Holdings, Inc. and its private market capabilities (see Overview in Part I – Item 2 and Business Acquisition in Part I – Item 1 – Financial Information – Notes to Condensed Consolidated Financial Statements (Item 1) – Note 3);

• •The Company’s development and deployment of artificial intelligence capabilities;

• •Opportunities for deepening and monetizing client relationships;

Text removed vs the prior filing · source: 10-Q · 2025-11-07

• •Funding sources and uses of liquidity (see Liquidity Risk in Part I – Item 2);

• •Wholesale funding, funding strategy, and expectations for paydown of bank supplemental funding (see Results of Operations in Part I – Item 2, and Liquidity Risk in Part I – Item 2);

• •Capital management; long-term operating objective; and uses of capital and return of excess capital to stockholders (see Capital Management in Part I – Item 2 and Commitments and Contingencies in Part I – Item 1 – Financial Information – Notes to Condensed Consolidated Financial Statements (Item 1)…

• •The acquisition of Forge Global Holdings, Inc. (Forge) and our expectation that incorporating Forge’s private markets capabilities will enhance Schwab’s ability to meet the evolving needs of investors across our growing client base (see Subsequent Events in Overview and Item 1 – Note 19);

• Management’s Discussion and Analysis of Financial Condition and Results of Operations

Text added vs the prior filing · source: 10-Q · 2026-05-08

• During the three months ended March 31, 2026, certain of our officers adopted or terminated trading arrangements for the sale of shares of our common stock as follows:

• Jonathan S. Beatty, Managing Director and Head of Advisor Services

• (1) Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

• (2) Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

• (3) Plans expire at the close of trading on the date presented or at such earlier date upon the completion of all trades under the plan (or the expiration of the orders relating to such trades without execution).

Text removed vs the prior filing · source: 10-Q · 2025-11-07

• During the three months ended September 30, 2025, no director or officer of the Company adopted or terminated a Rule 10b5-1 or non-Rule 10b5-1 trading arrangement as defined in Item 408 of Regulation S-K.