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CHAPTER 2

The Morgan Stanley Executive Financial Services Team

Customization
The EFS team works closely with you and your Financial Advisor to structure, draft and execute customized strategies which are in sync with your risk management needs, investment and liquidity objectives.

Experience
A team of experienced professionals who aim to assist the Financial Advisor in delivering the firm’s wealth management services to corporate executives and holders of concentrated positions.

Support
Morgan Stanley was one of the first major Wall Street firms to invest in the establishment of a separate 10b5-1 PDP Trading Desk to preserve open lines of communication between the firm’s PDP clients and their Financial Advisors and strengthen and protect the affirmative defense.

Knowledgeable
EFS, partnering with Financial Advisors, offers premier service and guidance, while possessing the knowledge to help ensure compliance with SEC rules and regulations.

Market Leader

  • Led the Rule 144 and 10b5-1 broker rankings for the fifth year in a row in 2013
  • Ranked #1 in 10b5-1 market share for the period 2005 through 2013, as reported by The Washington Service*

Services

  • SEC Rule 144 compliance
  • 10b5-1 PDP administration/execution
  • Loans and/or lines of credit secured by eligible securities
  • Affiliated repurchases
  • Hedging and liquidation strategies

* Source: The Washington Service from Form 144 filings in the period from 2 /1/2005 to 12 /31/2013.

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