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E Trade Financial Corp – ‘10-K’ for 12/31/03 – EX-31.1

On:  Wednesday, 3/10/04, at 6:19pm ET   ·   As of:  3/11/04   ·   For:  12/31/03   ·   Accession #:  1193125-4-38392   ·   File #:  1-11921

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/11/04  E Trade Financial Corp            10-K       12/31/03    8:2.9M                                   RR Donnelley/FA

Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report on Form 10-K                          HTML   2.53M 
 2: EX-10.63    Settlement Agreement Dated December 10, 2003        HTML     33K 
 3: EX-12.1     Statement of Earnings to Fixed Charges              HTML     37K 
 4: EX-21.1     Subsidiaries of the Registrant                      HTML     16K 
 5: EX-23.1     Consent of Independent Auditors                     HTML     13K 
 6: EX-31.1     Certification of Mitchell H. Caplan Under Item 307  HTML     14K 
                          of Regulation S-K                                      
 7: EX-31.2     Certification of Robert J. Simmons Under Item 307   HTML     14K 
                          of Regulation S-K                                      
 8: EX-32.1     Cert of Mitchell Caplan and Robert Simmons Under    HTML      8K 
                          Section 906                                            


EX-31.1   —   Certification of Mitchell H. Caplan Under Item 307 of Regulation S-K


This exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



  Prepared by R.R. Donnelley Financial -- Certification of Mitchell H. Caplan under Item 307 of Regulation S-K  

Exhibit 31.1

 

I, Mitchell H. Caplan, certify that:

 

1. I have reviewed this annual report on Form 10-K of E*TRADE Financial Corporation;

 

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;

 

4. The registrant’s other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the registrant and have:

 

  a) designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

  b) [paragraph omitted pursuant to SEC Release Nos. 33-8238 and 34-47986];

 

  c) evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

 

  d) disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s fourth fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5. The registrant’s other certifying officers and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

  a) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

 

  b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

Dated: March 9, 2004

By:   /s/    MITCHELL H. CAPLAN        
   
   

Mitchell H. Caplan

Chief Executive Officer


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed as of:3/11/04
Filed on:3/10/04
3/9/044
For Period End:12/31/0310-K/A,  5
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Filing Submission 0001193125-04-038392   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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