eTrade 2010 Annual Report Download - page 177
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ITEM 9A. CONTROLS AND PROCEDURES
(a) 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-15(e) and 15d-15(e)) as of the end of the period covered by this annual
report, have concluded that our disclosure controls and procedures are effective based on their
evaluation of these controls and procedures required by paragraph (b) of Exchange Act Rules 13a-15 or
15d-15.
(b) Our Chief Executive Officer and our Chief Financial Officer have evaluated the changes to the
Company’s internal control over financial reporting that occurred during our last fiscal quarter ended
December 31, 2010, as required by paragraph (d) of Exchange Act Rules 13a-15 and 15d-15, and have
concluded that there were no such changes that materially affected, or are reasonably likely to
materially affect, the Company’s internal control over financial reporting. The Management Report on
Internal Control Over Financial Reporting and the Reports of Independent Registered Public
Accounting Firm are included in Item 8. Financial Statements and Supplementary Data.
ITEM 9B. OTHER INFORMATION
None.
PART III
Certain portions of the Company’s Proxy Statement for its next Annual Meeting of Shareholders, 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, provide the
information required under Part III (Items 10, 11, 12, 13 and 14).
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