eTrade 2012 Annual Report Download - page 179

(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 quarter ended
December 31, 2012, 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.
Paul T. Idzik became Chief Executive Officer of the Company on January 22, 2013, which follows the
completion of all periods covered by this Annual Report on Form 10-K. Mr. Idzik, with the advice and
assistance of outside securities counsel, met with the Company’s external and internal auditors and its
accounting, finance and legal staff, to review the adequacy of the Company’s disclosure controls and
procedures, its internal control over financial reporting and the disclosures in this Report in order to
reach the conclusions expressed in this Part II, Item 9A and to sign the certifications filed as Exhibits
31.1 and 32.1 hereto.
ITEM 9B. OTHER INFORMATION
None.
PART III
Certain portions of the Company’s Proxy Statement for its next 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, provide the
information required under Part III (Items 10, 11, 12, 13 and 14).
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