SEC Rules 605 and 606 Disclosures
(formerly Rules 11Ac1-5 and 11Ac-6)
On November 15, 2000, the Securities and Exchange Commission adopted new rules mandating the public disclosure of order execution and routing practices. The rules require that Morgan Stanley and other market centers that trade national market system securities provide specific information concerning the quality of their executions on a stock-by-stock basis. Links to and information about the rules are provided here:
Morgan Stanley is committed to seeking the most favorable terms reasonably available under the circumstances when executing and/or routing our customers' orders.
Effective January 31, 2008, MSCO's SEC Rule 605 Report will be available on the Thomson Transaction Analytics Website.
To view MSCO's current SEC Rule 605 Report, click on the following link: http://www.tta.thomson.com/msi/download.jsp?clientid=msco.
Click on the quarter below to view MSCO's SEC Rule 606 Report on Routing of Customer Orders
Quarter Ending March 31, 2013
To view Morgan Stanley Smith Barney LLC’s Rule 606 Report for the most recent quarter, click on the following link: http://www.tta.thomson.com/reports/1-6/mssb
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