Defendant Name:
Morgan Stanley and Co. LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
33-9054
Document Details
Legal Case Name
In the Matter of Morgan Stanley & Co. Incorporated
Document Name
Order Under Rule 602(e) of the Securities Act of 1933 Granting a Waiver of the Rule 602(c)(3) Disqualification Provision
Document Date
20-Jul-2009
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On July 20, 2009, the SEC granted Morgan Stanley & Co. Incorporated ("Morgan Stanley") a waiver of the Rule 602(c)(3) disqualification from the exemption from registration under Regulation E arising from Morgan Stanley's settlement of an administrative proceeding commenced by the Commission.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$500,000.00
Shared: