eTrade 2002 Annual Report Download - page 193

Table of Contents
Index to Financial Statements
PART III
The Company’ s Proxy Statement for its Annual Meeting of Shareholders, to be held May 22, 2003 which, when filed pursuant to Regulation
14A under the Securities Exchange Act of 1934, will be incorporated by reference in this Annual Report on Form 10-K pursuant to General
Instruction G(3) of Form 10-K, provides the information required under Part III (Items 10, 11, 12 and 13).
Item 14.Evaluation of Disclosure Controls and Procedures
(
a
)
Evaluation of disclosure controls and procedures. Our Chief Executive Officer and our Chief Financial Officer, after evaluating the
effectiveness of the Company’ s “disclosure controls and procedures” (as defined in the Securities Exchange Act of 1934 (“Exchange
Act”) Rules 13a-14(c) and 15d-14(c)) as of a date (“Evaluation Date”) within 90 days before the filing of this annual report, have
concluded that as of the Evaluation Date, our disclosure controls and procedures are effective to ensure that information required to be
disclosed by us in reports we file or submit under the Exchange Act is recorded, processed, summarized and reported within the time
periods specified in Securities and Exchange Commission rules and forms.
(
b
)
Change in internal controls. There were no significant changes in our internal controls or to our knowledge, in other factors that could
significantly affect our internal controls subsequent to the Evaluation Date.
PART IV
Item 15.Exhibits, Consolidated Financial Statement Schedules and Reports on Form 8-K
(a)The following documents are filed as part of this report:
Consolidated Financial Statements and Financial Statement Schedules
Consolidated Financial Statement Schedules have been omitted because the required information is not present, or not present in amounts,
sufficient to require submission of the schedules or because the required information is provided in the Consolidated Financial Statements or
Notes thereto.
(b)Reports on Form 8-K
On May 10, 2002, the Company filed a Current Report on Form 8-K to report the announcement of an agreement with Chairman of the Board
and Chief Executive Officer Christos M. Cotsakos for a two-year contract.
On July 26, 2002, the Company filed a Current Report on Form 8-K to report that on July24, 2002, the Board of Directors accepted the
resignation of Mr. David C. Hayden as a Director.
On August 12, 2002, the Company filed a Current Report on Form 8-K, to report that on August 12, 2002, pursuant to the Securities and
Exchange Commission Order No. 4-460, the Company’ s Chief Executive Officers and Chief Financial Officer furnished their certifications of
the Company’ s Exchange Act filings, in the form prescribed by the SEC and without qualification.
On January 7, 2003, the Company filed a Current Report on Form 8-K, to report that on December23, 2002, the Company consummated its
previously announced acquisition of Ganis Credit Corporation from Deutsche Bank AG.
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2003. EDGAR Online, Inc.