Morgan Stanley

Key Businesses of Morgan Stanley Smith Barney Corporate Equity Solutions Ranked #1 for 2011 by The Washington Service

Jan 26, 2012

Firm Leads Rule 144 and 10b5-1 Broker Rankings with 17.0% and 23.4% of market share, respectively

New York —


Morgan Stanley Smith Barney’s Rule 144 and 10b5-1 businesses rank #1 for 2011 as reported by The Washington Service, a premier provider of insider trading data and analytics to securities professionals.  Morgan Stanley Smith Barney captured 17 percent of the $48.4 billion Rule 144 market.  In 10b5-1 Trading Plans, the Firm secured a 23.4 percent share of the overall $16.4 billion market.

“We are delighted with this achievement reported by The Washington Service.  This reinforces Morgan Stanley Smith Barney’s dominant market share and leadership position in providing executive equity solutions, specifically in the Rule 144 and 10b5-1 space,” said Colbert Narcisse, Managing Director and Head of Corporate Equity Solutions at Morgan Stanley Smith Barney.

With one of the largest and most experienced staffs of professionals dedicated to equity solutions for corporate executives, Morgan Stanley Smith Barney Executive Financial Services provides advice and guidance on liquidity, diversification and hedging strategies for Insiders and Affiliates.  The group advises on sales of control and restricted stock, exercise of stock options, and manages implementation of the 10b5-1 Preset Diversification Program® in coordination with corporate counsel.

Morgan Stanley Smith Barney, a global leader in wealth management, provides access to a wide range of products and services to individuals, businesses and institutions, including brokerage and investment advisory services, financial and wealth planning, credit and lending, cash management, annuities and insurance, retirement and trust services.  For further information about Morgan Stanley Smith Barney, please visit

Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.  The Firm's employees serve clients worldwide including corporations, governments, institutions and individuals from more than 1,300 offices in 43 countries. For further information about Morgan Stanley, please visit

10b5-1 Preset Diversification Program (PDP)® is a registered trademark of Morgan Stanley Smith Barney LLC, protected in the United States and other countries. 

Note: Reprinted with the permission of Washington Service. (301) 913-5100 – Data as of 12/31/11.

Investments and services offered through Morgan Stanley Smith Barney LLC, member SIPC. Morgan Stanley Smith Barney LLC and its Financial Advisors do not provide tax or legal advice. Clients should consult their personal tax advisor for tax-related matters and their attorney for legal matters.

©2012 Morgan Stanley Smith Barney           

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