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Results Of Charles Schwab Advisor Survey On Potential Costs Of SEC Rule Harmonization

Stocks in this article: SCHW

The SEC will use the data and analysis in Schwab's letter, along with the input from others, to decide whether to propose new harmonized rules in the future.

For more information about rule harmonization, read this white paper.

About the Survey

This survey was conducted for Schwab Advisor Services by Koski Research. Koski Research is not affiliated with Charles Schwab & Co. Inc. All data are self-reported by survey participants and are not verified or validated. Over 800 advisors participated in the survey between May 28, 2013 and June 7, 2013. The data noted in this press release represents participating RIAs with $90 million or more in assets under management. Survey results are attached to this release.

About Schwab

At Charles Schwab we believe in the power of investing to help individuals create a better tomorrow. We have a history of challenging the status quo in our industry, innovating in ways that benefit investors and the advisors and employers who serve them, and championing our clients’ goals with passion and integrity.

More information is available at www.aboutschwab.com. Follow us on Twitter, Facebook, YouTube, LinkedIn and our Schwab Talk blog.

Disclosures

Through its operating subsidiaries, The Charles Schwab Corporation (NYSE: SCHW) provides a full range of securities brokerage, banking, money management and financial advisory services to individual investors and independent investment advisors. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC, www.sipc.org), and affiliates offer a complete range of investment services and products including an extensive selection of mutual funds; financial planning and investment advice; retirement plan and equity compensation plan services; compliance and trade monitoring solutions; referrals to independent fee-based investment advisors; and custodial, operational and trading support for independent, fee-based investment advisors through Schwab Advisor Services. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides banking and lending services and products. More information is available at www.schwab.com and www.aboutschwab.com.

Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

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