Morgan Stanley & Co. Incorporated

04/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017072302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Morgan Stanley & Co. Incorporated, Respondent Member CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co. Incorporated ("Morgan Stanley" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017072302data-portal.finra.orgfinra.org

09/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001449202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated (''Morgan Stanley"), Respondent BD No. 8209 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Morgan Stanley submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC

Reference 2005001449202finra.orgdata-portal.finra.org

05/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003527001 TO: Department of Enforcement NASD RE: Morgan Stanley & Co. Incorporated, Respondent, CRD No. 8209 Pursuant to Rule 9216 of NASD Code of Procedure, Morgan Stanley & Co. Incorporated, ("Morgan Stanley," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if

Reference 2005003527001finra.orgdata-portal.finra.org

08/25/2009: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070119457-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated, Respondent Broker-Dealer CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co. Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2007011945701data-portal.finra.orgfinra.org

10/13/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 20070111340 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated, Respondent Member Firm BD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co. Incorporated ("Morgan Stanley"), as successor to Morgan Stanley DW Inc. ("MSDW"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2007011134001data-portal.finra.orgfinra.org

08/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070082664-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co., Incorporated, Respondent Broker-Dealer CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co., Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2007008266401data-portal.finra.orgfinra.org

08/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013782301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated, Respondent Member Firm BD No.8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Stanley & Co. Incorporated (''Respondent," "Morgan Stanley," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2008013782301finra.orgdata-portal.finra.org

05/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070113472-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated, Respondent Broker-Dealer CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co. Incorporated (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") fort he purpose of

Reference 2007011347201data-portal.finra.orgfinra.org

05/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2007009428301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated ("MS"), Respondent BD No. 8209 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, MS submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Reference 2007009428301data-portal.finra.orgfinra.org

07/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401500001 TO: Department of Enforcement NASD RE: Morgan Stanley & Co. Incorporated, Respondent CRD No. 8209 Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent Morgan Stanley & Co. Incorporated ("Morgan Stanley," "Respondent," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference EAF0401500001finra.orgdata-portal.finra.org

09/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070107197-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co., Incorporated, Respondent Broker-Dealer CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co., Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2007010719701finra.orgdata-portal.finra.org

06/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080157171 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Morgan Stanley & Co. Incorporated, Respondent CRD No. 8209 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Stanley & Co., Incorporated ("Respondent" or "the Firm" or "MS & Co. Inc.") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008015717101data-portal.finra.orgfinra.org