eTrade 2011 Annual Report Download - page 177
Download and view the complete annual report
Please find page 177 of the 2011 eTrade annual report below. You can navigate through the pages in the report by either clicking on the pages listed below, or by using the keyword search tool below to find specific information within the annual report.-
1 -
2
-
3
-
4
-
5
-
6
-
7
-
8
-
9
-
10
-
11
-
12
-
13
-
14
-
15
-
16
-
17
-
18
-
19
-
20
-
21
-
22
-
23
-
24
-
25
-
26
-
27
-
28
-
29
-
30
-
31
-
32
-
33
-
34
-
35
-
36
-
37
-
38
-
39
-
40
-
41
-
42
-
43
-
44
-
45
-
46
-
47
-
48
-
49
-
50
-
51
-
52
-
53
-
54
-
55
-
56
-
57
-
58
-
59
-
60
-
61
-
62
-
63
-
64
-
65
-
66
-
67
-
68
-
69
-
70
-
71
-
72
-
73
-
74
-
75
-
76
-
77
-
78
-
79
-
80
-
81
-
82
-
83
-
84
-
85
-
86
-
87
-
88
-
89
-
90
-
91
-
92
-
93
-
94
-
95
-
96
-
97
-
98
-
99
-
100
-
101
-
102
-
103
-
104
-
105
-
106
-
107
-
108
-
109
-
110
-
111
-
112
-
113
-
114
-
115
-
116
-
117
-
118
-
119
-
120
-
121
-
122
-
123
-
124
-
125
-
126
-
127
-
128
-
129
-
130
-
131
-
132
-
133
-
134
-
135
-
136
-
137
-
138
-
139
-
140
-
141
-
142
-
143
-
144
-
145
-
146
-
147
-
148
-
149
-
150
-
151
-
152
-
153
-
154
-
155
-
156
-
157
-
158
-
159
-
160
-
161
-
162
-
163
-
164
-
165
-
166
-
167 -
168 -
169 -
170 -
171 -
172 -
173 -
174 -
175 -
176 -
177 -
178 -
179 -
180 -
181 -
182 -
183 -
184 -
185 -
186 -
187 -
188
-
189
-
190
-
191
-
192
-
193
-
194
-
195
-
196
-
197
-
198
-
199
-
200
-
201
-
202
-
203
-
204
-
205
-
206
-
207
-
208
-
209
-
210
-
211
-
212
-
213
-
214
-
215
-
216
 |
 |
Table of Contents
i
INTRODUCTION
1
STATEMENT OF ETHICS
1
Business O
p
erations
1
Treatment and Conduct of Em
p
lo
y
ees, Officers and Directors
1
Interaction with Business Partners, Potential Business Partners and Com
p
etitors
2
PURPOSE OF THE CODE
2
REPORTING VIOLATIONS
2
THE CODE OF PROFESSIONAL CONDUCT AND YOUR EMPLOYMENT
3
Code of Professional Conduct Is Not an Em
p
lo
y
ment Contract
3
Conse
q
uences of Violatin
g
the Code of Professional Conduct
3
STANDARDS OF CONDUCT
4
RESPONSIBILITIES UNDER THE LA
W
4
Securities Laws
4
Exchan
g
e and Self-Re
g
ulator
y
Or
g
anization Rules
5
Bankin
g
Laws and Re
g
ulations
5
Licensin
g
, Re
g
istration and Re
p
ortin
g
of S
p
ecified Arrests, Convictions or Civil Actions
5
Personal Le
g
al Matters
5
Pro
p
er Record-Kee
p
in
g
and Disclosure Re
q
uirements
6
Insider Tradin
g
6
Records Mana
g
ement and Records Retention Re
q
uirements
7
Antitrust and Trade Re
g
ulation Laws
7
Tied Products and Services
8
Avoidin
g
Im
p
ro
p
er and Corru
p
t Pa
y
ments, Includin
g
the Forei
g
n Corru
p
t Practices Act
8
Economic Sanctions
8
International Anti-Bo
y
cott Laws
9
Anti-Mone
y
Launderin
g
and Anti-Terrorism Laws
9
Intellectual Pro
p
ert
y
Protection
9
Privac
y
Laws and Re
g
ulations
10
Em
p
lo
y
ee Accounts
11
DEALING WITH THIRD PARTIES
11
Authorit
y
to Act on Behalf of E*TRADE
11
Conflicts of Interest
11
Acce
p
tance of Gifts, Meals or Entertainment
12
Providin
g
Gifts, Meals or Entertainment
13
A
pp
roval of Nonconformin
g
Gifts, Meals or Entertainment
13
Selectin
g
Su
pp
liers
13
Standards of Conduct Demanded of Third Parties
14
Re
q
uests for Le
g
al, Financial or Tax Advice
14
Advertisin
g
14
Charitable Contributions
14
Communications with the Media and other Third Parties
14
Internet Access and Social Media
15
Outside Law
y
ers
15
Treatment of Privile
g
ed Communications and Documents
16
LITIGATION, INVESTIGATIONS, INQUIRIES AND COMPLAINTS
16
DEALINGS WITH E*TRAD
E
17
Protectin
g
E*TRADE’s Assets
17
Use of E*TRAD
E
’s Information and Communications S
y
stems
17