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CHAPTER 1

A Diversity of Experience

Morgan Stanley Executive Financial Services (EFS) are specialized professionals educated in regulatory and SEC rules that affect corporate executives and their stock holdings.

Our dedicated EFS team supports you and your Financial Advisor to help determine how your company stock can be used for liquidity, asset protection and wealth transfer, through a variety of approaches, including:

  • Sales under Rule 144
  • A 10b5-1 Preset Diversification Program® (“PDP” or 10b5-1 Trading Plan)
  • Loans
  • Gifting
  • Corporate Repurchases by Executives

Working with you, your company’s corporate counsel and your Financial Advisor, Morgan Stanley can craft a diversification strategy to support your investment objectives and tie the program into a comprehensive wealth management strategy.

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