This document summarizes The Charles Schwab Corporation's policies on General Corporate and Personal Standards of Conduct; Conflicts of Interest; Confidentiality of Information; Employment Practices; Business Practices; and Compliance Procedures.
The Charles Schwab Corporation has a single class of voting common shares and each share is entitled to a single vote. Stockholders can vote at stockholder meetings by mail, telephone, Internet, or in person.
Investing involves risk, including possible loss of principal.
The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc (“Schwab”), Member SIPC, offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned, affiliated with, or supervised by Schwab. Schwab Retirement Plan Services, Inc. and Schwab Retirement Plan Services Company provide recordkeeping and related services with respect to retirement plans. Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value