eTrade 2007 Annual Report Download - page 9
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REGULATION
Our business is subject to regulation by U.S. Federal and state regulatory agencies and securities exchanges
and by various non-U.S. governmental agencies or regulatory bodies, securities exchanges and central banks,
each of which has been charged with the protection of the financial markets and the protection of the interests of
those participating in those markets. These regulatory agencies in the United States include, among others, the
Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), the
NYSE, the NASDAQ, the FDIC, the Federal Reserve, the Municipal Securities Rulemaking Board and the Office
of Thrift Supervision (“OTS”). Additional legislation, regulations and rulemaking may directly affect our manner
of operation and profitability. Our broker-dealers are registered with the SEC and are subject to regulation by the
SEC and by self-regulatory organizations, such as the NYSE, the NASDAQ, FINRA and the securities exchanges
of which each is a member. Our banking entities are subject to regulation, supervision and examination by the
OTS, the Federal Reserve and also, in the case of the Bank, the FDIC. Such regulation covers all aspects of the
banking business, including lending practices, safeguarding deposits, capital structure, transactions with affiliates
and conduct and qualifications of personnel. Our international broker-dealers are regulated by their respective
local regulators such as the Financial Services Authority (“FSA”), Securities & Futures Commission and the
Investment Dealers Association (“IDA”).
We make our annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K,
and amendments to those reports, available free of charge at our website as soon as reasonably practicable after
they have been filed with the SEC. Our website address is www.etrade.com.
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