Morgan Stanley Broker definition

Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley.
Morgan Stanley Broker means a broker-dealer affiliated with Morgan Stanley, including E*TRADE.
Morgan Stanley Broker. ’ means a broker-dealer affiliated with Morgan Stanley.

Examples of Morgan Stanley Broker in a sentence

  • New Employees or newly designated Covered Persons must disclose their Employee Securities Account(s) and accounts of their Immediate Family within 10 calendar days, of hire, using the Initial Disclosure Form, and transfer their Employee Securities Account(s) to a Morgan Stanley Broker or an Approved Broker, as applicable in non-US jurisdictions, at their own expense, within 60 calendar days of becoming a Covered Person.

  • When opening an Employee Securities Account, you must notify the Morgan Stanley Broker that you are an Employee and that the relevant account must be coded as an Employee or Employee-related account.

  • Employee Securities AccountsGenerally, you and your Immediate Family must maintain all Employee Securities Accounts that may invest in Covered Securities at a Morgan Stanley Broker or an Approved Broker, as applicable to the respective jurisdiction.

  • If you open an account other than with a Morgan Stanley Broker (inclusive of E*TRADE) without obtaining the required Compliance pre-approval, you must immediately disclose it to Compliance through the OBI System.

  • Consultants or temporary workers that are hired for positions lasting more than one year or are otherwise classified as a Covered Person by their assignment contacts/managers or Compliance may be required to transfer brokerage accounts to a Morgan Stanley Broker or Firm approved third party broker as applicable to the respective jurisdiction.

  • Exceptions to the requirement to maintain Employee Securities Accounts at a Morgan Stanley Broker are rare and require Compliance approval.


More Definitions of Morgan Stanley Broker

Morgan Stanley Broker means a broker-dealer affiliated with Morgan

Related to Morgan Stanley Broker

  • Principal broker means a broker who is either a real estate proprietor, a partner in a real estate partnership, or an officer in a real estate corporation.