eTrade 2010 Annual Report Download - page 178

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
applicable, not material or is provided in the consolidated financial statements or notes thereto.
Exhibit
Number Description
3.1 Restated Certificate of Incorporation of E*TRADE Financial Corporation as currently in effect.
(Incorporated by reference to Exhibit 3.1 of the Company’s Form 10-Q filed August 4, 2010.)
3.2 Amended and Restated Bylaws of the Registrant (Incorporated by reference to Exhibit 3.1 to the
Company’s Current Report on Form 8-K filed May 14, 2010.)
4.1 Specimen of Common Stock Certificate (Incorporated by reference to Exhibit 4.1 of Amendment No.
1 to the Company’s Registration Statement on Form S-1, Registration Statement No. 333-05525,
filed July 22, 1996.)
4.2 Indenture dated June 8, 2004, between E*TRADE Financial Corporation and The Bank of New
York, as Trustee, relating to the 2011 Notes (includes form of note) (Incorporated by reference to
Exhibit 4 of the Company’s Registration Statement on Form S-4, Registration Statement
No. 333-117080, filed on July 1, 2004.)
4.3 First Supplemental Indenture dated September 19, 2005, between the Company and The Bank of
New York, as Trustee, relating to the 2011 Notes (Incorporated by reference to Exhibit 4.1 of the
Company’s Form 10-Q filed November 1, 2005.)
4.4 Second Supplemental Indenture dated November 1, 2006, between the Company and The Bank of
New York, as Trustee, relating to the 2011 Notes (Incorporated by reference to Exhibit 4.4 of the
Company’s Form 10-K filed February 24, 2010.)
4.5 Third Supplemental Indenture dated as of July 9, 2009, between E*TRADE Financial Corporation
and The Bank of New York Mellon, as Trustee, relating to the 2011 Notes (Incorporated by reference
to Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on July 9, 2009.)
4.6 Indenture dated September 19, 2005, between the Company and The Bank of New York, as Trustee,
relating to the 2013 Notes (includes form of note) (Incorporated by reference to Exhibit 4.2 of the
Company’s Form 10-Q filed November 1, 2005.)
4.7 First Supplemental Indenture dated November 10, 2005, between E*TRADE Financial Corporation
and The Bank of New York, as Trustee, relating to the 2013 Notes (Incorporated by reference to
Exhibit 4.1 of the Company’s Current Report on Form 8-K filed on November 15, 2005.)
4.8 Second Supplemental Indenture dated November 1, 2006, between the Company and The Bank of
New York, as Trustee, relating to the 2013 Notes (Incorporated by reference to Exhibit 4.8 of the
Company’s Form 10-K filed February 24, 2010.)
4.9 Indenture dated November 22, 2005, between E*TRADE Financial Corporation and The Bank of
New York, as Trustee, relating to the 2015 Notes (includes form of note) (Incorporated by reference
to Exhibit 4.15 of the Company’s Form 10-K filed March 1, 2006.)
4.10 First Supplemental Indenture dated November 1, 2006, between the Company and The Bank of New
York, as Trustee, relating to the 2015 Notes (Incorporated by reference to Exhibit 4.10 of the
Company’s Form 10-K filed February 24, 2010.)
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