We're Invested in Advocacy and Ethics

We believe our clients deserve an advocate they can trust.

Walt Bettinger, President and CEO, Charles Schwab, giving a speech.


Serving your goals

When we say we’re invested in our clients, it’s more than just a clever turn of phrase. It’s what we’re founded on. We believe investing has the power to transform lives.

That’s why we actively advocate on regulatory and legislative issues that directly affect clients’ abilities to achieve their investment goals or our ability to serve clients with passion and integrity.


Client advocacy

We know the greatest opportunity for change is at the policy level. So the Schwab Office of Legislative and Regulatory Affairs supports the creation of responsible policies designed to help people pursue their financial dreams.

As advocates, we educate lawmakers, regulators, and executive branch officials at the international, federal, state, and local levels. We provide an experienced perspective on legislative policy proposals that affect investors. And we educate our employees and clients about the vital roles they can play in the public policy process.

Likewise, Schwab advocates for the continued growth of the independent Registered Investment Advisor (RIA) industry and our approximately 13,000 client firms. We use our position as the leading custodian to drive awareness and preference for the independent model. Ultimately, we work to ensure that the business ecosystem empowers success for RIAs.

Why We Don’t Take Sides on Political Issues 

Americans are extraordinarily divided politically. On any given day, one can see pundits on television, in magazines, in the newspaper or on the internet involved in increasingly polarized debates related to a wide variety of political, economic and social issues. Media outlets themselves increasingly seem focused on getting viewership or readership by appealing to one side of a debate or the other – or pursuing drama and conflict at the expense of a fair airing of differing points of view. The result is that dialogue on these topics is often reduced to one set of voices talking past opposing voices with little hope for agreement or compromise. It’s a frustrating state of affairs, but one that’s been years in the making and that is unlikely to abate overnight. Read more > 

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Earning your trust

Our decisions have far-reaching implications for the financial services industry as a whole. The trust we earn from our clients and communities rests on upholding our reputation for integrity and lawfulness. We are committed to the highest standards of ethical conduct.

Read our full Code of Business Conduct and Ethics to learn more about 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.

We take our responsibility to our stockholders seriously. The Charles Schwab Corporation has a single class of voting common shares, and each share is entitled to a single vote at stockholder meetings. Stockholders can vote by mail, by phone, online, or in person.

Learn more about governance at Schwab.