SCHW 最新10-Q变化

相对上期新增的文字 · 来源:10-Q · 2026-08-07

• •The integration of Forge Global Holdings, Inc. and its private market capabilities (see Overview in Part I – Item 2);

• •Estimates of market opportunity (see Introduction in Part I – Item 2);

• •Growth of our client base and our business, strong client engagement, sustained demand for the Company’s offerings and solutions, and strategic initiatives (see Overview in Part I – Item 2);

• •The likelihood of indemnification and guarantee payment obligations and clients failing to fulfill contractual obligations (see Commitments and Contingencies in Part I – Item 1 – Financial Information – Notes to Condensed Consolidated Financial Statements (Item 1) – Note 11, and Financial Instrumen…

• •The outcome and impact of legal proceedings and regulatory matters (see Legal Proceedings in Part II – Item 1, and Commitments and Contingencies in Item 1 – Note 11).

相对上期删除的文字 · 来源:10-Q · 2026-05-08

• •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;

• •The expected impact of new accounting standards not yet adopted (see New Accounting Standards in Item 1 – Note 2);

• •The likelihood of indemnification and guarantee payment obligations and clients failing to fulfill contractual obligations (see Commitments and Contingencies in Item 1 – Note 11, and Financial Instruments Subject to Off-Balance Sheet Credit Risk in Item 1 – Note 13); and

相对上期新增的文字 · 来源:10-Q · 2026-08-07

• In evaluating the Company and our business, you should carefully consider the risks and uncertainties described in Part I – Item 1A – Risk Factors in our most recent Annual Report on Form 10-K, together with the other information in this Quarterly Report on Form 10-Q, including our condensed consoli…

• Cryptocurrency, or crypto, uses cryptography blockchain technology, and distributed networks to execute, record, and verify transactions. Unlike traditional financial markets, there may be no party that can prevent or reverse fraudulent transactions, restore lost or stolen assets, or halt operations…

• Cryptocurrency markets and service providers have been subject to regulatory actions, adverse publicity, and significant volatility. Custodians and other service providers have been targets of sophisticated cyber attacks, which may include intrusion into operations infrastructure, tampering with tra…

• Clients’ cryptocurrency held through Schwab CryptoTM is not a deposit or a security and is not protected by the FDIC or the Securities Investor Protection Corporation (SIPC).

• Any operational or security failure at our sub-custodian could result in loss or theft of clients’ cryptocurrency and expose us to remediation costs, regulatory scrutiny, and reputational harm.

相对上期删除的文字 · 来源:10-Q · 2026-05-08

• During the first three months of 2026, there have been no material changes to the risk factors in Part I – Item 1A – Risk Factors in the 2025 Form 10-K.

相对上期新增的文字 · 来源:10-Q · 2026-08-07

• During the three months ended June 30, 2026, 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.

相对上期删除的文字 · 来源: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).