Charles Schwab 2011 Annual Report Download - page 124

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THE CHARLES SCHWAB CORPORATION
- 96 -
Item 14. Principal Accountant Fees and Services
The information required to be furnished pursuant to this item is incorporated by reference from a portion of the Proxy
Statement under “Auditor Fees.”
PART IV
Item 15. Exhibits and Financial Statement Schedule
(a) Documents filed as part of this Report
1. Financial Statements
The financial statements and independent auditors’ report are included in “Item 8 – Financial Statements and Supplementary
Data” and are listed below:
Consolidated Statements of Income
Consolidated Balance Sheets
Consolidated Statements of Cash Flows
Consolidated Statements of Stockholders’ Equity
Notes to Consolidated Financial Statements
Report of Independent Registered Public Accounting Firm
2. Financial Statement Schedule
The financial statement schedule required to be furnished pursuant to this item is listed in the accompanying index appearing
on page F-1.
(b) Exhibits
The exhibits listed below are filed as part of this annual report on Form 10-K.
Exhibit
Number Exhibit
2.1 Agreement and Plan of Merger, dated March 18, 2011, by and among The Charles Schwab
Corporation, Neon Acquisition Corp. and optionsXpress Holdings, Inc., filed as Exhibit 2.1 to the
Registrant’s Form 8-K dated March 18, 2011 and incorporated herein by reference.
3.11 Fifth Restated Certificate of Incorporation, effective May 7, 2001, of the Registrant, filed as
Exhibit 3.11 to the Registrant’s Form 10-Q for the quarter ended September 30, 2011 and incorporated
herein by reference.
3.14 Fourth Restated Bylaws, as amended on January 27, 2010, of the Registrant, filed as Exhibit 3.1 to the
Registrant’s Form 8-K dated January 27, 2010 and incorporated herein by reference.
3.15 Certificate of Designations of Fixed to Floating Rate Non-Cumulative Perpetual Preferred Stock, Series
A of The Charles Schwab Corporation filed as Exhibit 3.15 to the Registrant’s Form 8-K dated
January 24, 2012 and incorporated herein by reference.