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List All Filings | or | ||
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Most-Recent Filing: | ‘SBSE-A/A’ — Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — Form SBSE-A — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | |||||||
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2/27/24 | SBSE-A | Registration: | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such — Form SBSE-A | 12 | |||||||
2/13/24 | 13F-NT | Ownership: | Quarterly Holdings Notices by Money Managers — Form 13F — | 73 | |||||||
4/25/23 | X-17A-5 | Update: | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 | 1 | |||||||
11/1/21 | OLD | SBSE-C | Registration: | Certification for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant — Form SBSE-C OLD | 1 | ||||||
Additional Exhibits: | |||||||||||
2/27/24 | EX-99 & EX-99.* | Miscellaneous Exhibits, such as Press Releases — | 61 | ||||||||
Broker-Dealer Reports: | |||||||||||
4/25/23 | FULL | Annual Financial Reports (Full) | 4 |
As Of | | Quarter (Ended) | Holdings Form 13F | Assets (Millions) | Reporting Manager Manager with whom Investment Discretion is Shared | |||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2/13/24 | 12/31/23 | 1,989 | of | 44,939 | $5,055,129 |
| Morgan Stanley |
Year | # of Filings | |
---|---|---|
2024 | 3 | |
2023 | 10 | |
2022 | 7 | |
2021 | 7 | |
2020 | 4 | |
2019 | 4 | |
2018 | 4 | |
2017 | 4 | |
2016 | 4 | |
2015 | 4 | |
2014 | 4 | |
2013 | 4 | |
2012 | 4 | |
2011 | 4 | |
2010 | 4 | |
2009 | 4 | |
2008 | 4 | |
2007 | 4 | |
2006 | 4 |