eTrade 2007 Annual Report Download - page 152
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ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND
FINANCIAL DISCLOSURE
Not applicable.
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 year ended
December 31, 2007, 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
Not applicable.
PART III
The Company’s Proxy Statement for its 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, provides the information required
under Part III (Items 10, 11, 12, 13 and 14).
PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(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.
149