eTrade 2003 Annual Report Download - page 124

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Table of Contents
Index to Financial Statements
ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL
DISCLOSURE
Not applicable.
ITEM 9A. EVALUATION OF DISCLOSURE CONTROLS AND PROCEDURES
PART III
(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) or 15d-15(e)) at
December 31, 2003, 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) Changes in internal control over financial reporting. There were no changes in our internal control over financial reporting
identified in connection with the evaluation required by paragraph (d) of Exchange Act Rules 13a-15 or 15d-
15 that occurred during
our last fiscal quarter that has materially affected, or is reasonably likely to materially affect, our internal control over financial
reporting.
The Company’s Proxy Statement for its Annual Meeting of Shareholders, to be held May 27, 2004 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, 13 and 14).
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 October 1, 2003, the Company filed a Current Report on Form 8-K to report the Company filed a Certificate of Ownership and
Merger wherein it merged with and into its wholly owned subsidiary, E*TRADE Financial Corporation, with the Company as the surviving
entity and changed its name to “E*TRADE Financial Corporation.”
On October 22, 2003, the Company filed a Current Report on Form 8-K to report that on October 20, 2003, it had consummated its
previously announced acquisition of all of the issued and outstanding capital stock of Deutsche Recreational Asset Funding Corporation
(“DRAFCO”), including certain securitized interests.
On November 12, 2003, the Company filed a Current Report on Form 8-K to report that it had announced the resignation of Leonard C.
Purkis as Chief Financial Officer of the Company and the election of Robert J. Simmons as Chief Financial Officer, effective January 1, 2004.
On December 17, 2003, the Company filed a Current Report on Form 8-K to report that it had announced issuing 2004 earnings guidance
and announcing a Share Repurchase Program.
110