eTrade 2007 Annual Report Download - page 160
Download and view the complete annual report
Please find page 160 of the 2007 eTrade annual report below. You can navigate through the pages in the report by either clicking on the pages listed below, or by using the keyword search tool below to find specific information within the annual report.-
1 -
2
-
3
-
4
-
5
-
6
-
7
-
8
-
9
-
10
-
11
-
12
-
13
-
14
-
15
-
16
-
17
-
18
-
19
-
20
-
21
-
22
-
23
-
24
-
25
-
26
-
27
-
28
-
29
-
30
-
31
-
32
-
33
-
34
-
35
-
36
-
37
-
38
-
39
-
40
-
41
-
42
-
43
-
44
-
45
-
46
-
47
-
48
-
49
-
50
-
51
-
52
-
53
-
54
-
55
-
56
-
57
-
58
-
59
-
60
-
61
-
62
-
63
-
64
-
65
-
66
-
67
-
68
-
69
-
70
-
71
-
72
-
73
-
74
-
75
-
76
-
77
-
78
-
79
-
80
-
81
-
82
-
83
-
84
-
85
-
86
-
87
-
88
-
89
-
90
-
91
-
92
-
93
-
94
-
95
-
96
-
97
-
98
-
99
-
100
-
101
-
102
-
103
-
104
-
105
-
106
-
107
-
108
-
109
-
110
-
111
-
112
-
113
-
114
-
115
-
116
-
117
-
118
-
119
-
120
-
121
-
122
-
123
-
124
-
125
-
126
-
127
-
128
-
129
-
130
-
131
-
132
-
133
-
134
-
135
-
136
-
137
-
138
-
139
-
140
-
141
-
142
-
143
-
144
-
145
-
146
-
147
-
148
-
149
-
150 -
151 -
152 -
153 -
154 -
155 -
156 -
157 -
158 -
159 -
160 -
161 -
162 -
163 -
164 -
165 -
166 -
167 -
168 -
169 -
170 -
171
-
172
-
173
-
174
-
175
-
176
-
177
-
178
-
179
-
180
-
181
-
182
-
183
-
184
-
185
-
186
-
187
-
188
-
189
-
190
-
191
-
192
-
193
-
194
-
195
-
196
-
197
-
198
-
199
-
200
-
201
-
202
-
203
-
204
-
205
-
206
-
207
-
208
-
209
-
210
 |
 |
TABLE OF CONTENTS
i
Pa
g
e
ARTICLE I.
DEFINITIONS
1
Section 1.1
Certain Definitions
1
Section 1.2
Additional Definitions
6
ARTICLE II.
ORDER FLOW
7
Section 2.1
Direction and Routing of Orders
7
Section 2.2
Customer Complaints
9
Section 2.3
Execution Quality
9
Section 2.4
Customer Disclosure, Segregation and Responsibility
10
Section 2.5
Order Transmission Procedures and Requirements
11
ARTICLE III.
PAYMENTS
11
Section 3.1
Timing and Amount of Payments by the Company
11
Section 3.2
Reports and Other Information
12
Section 3.3
Manner of Payments
12
Section 3.4
Interest on Late Payments
12
Section 3.5
Books of Account
12
ARTICLE IV.
CONFIDENTIAL INFORMATION
12
Section 4.1
Confidential Information
12
Section 4.2
Communications with Regulators
13
Section 4.3
Identification of Parent Customers
14
ARTICLE V.
REPRESENTATIONS AND WARRANTIES; COVENANTS; LIMITATION ON LIABILITY
14
Section 5.1
Representations and Warranties
14
Section 5.2
Limitation on Liability
15