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Morgan Stanley – ‘10-Q’ for 3/31/18 – ‘EX-32.1’

On:  Friday, 5/4/18, at 4:43pm ET   ·   For:  3/31/18   ·   Accession #:  1193125-18-152899   ·   File #:  1-11758

Previous ‘10-Q’:  ‘10-Q’ on 11/3/17 for 9/30/17   ·   Next:  ‘10-Q’ on 8/3/18 for 6/30/18   ·   Latest:  ‘10-Q’ on 11/3/23 for 9/30/23   ·   4 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/04/18  Morgan Stanley                    10-Q        3/31/18  131:34M                                    Donnelley … Solutions/FA

Quarterly Report   —   Form 10-Q   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML   2.15M 
 2: EX-10.1     Material Contract                                   HTML    116K 
 3: EX-12       Statement re: Computation of Ratios                 HTML     59K 
 4: EX-15       Letter re: Unaudited Interim Financial Info         HTML     47K 
 5: EX-31.1     Certification -- §302 - SOA'02                      HTML     43K 
 6: EX-31.2     Certification -- §302 - SOA'02                      HTML     43K 
 7: EX-32.1     Certification -- §906 - SOA'02                      HTML     38K 
 8: EX-32.2     Certification -- §906 - SOA'02                      HTML     38K 
15: R1          Document and Entity Information                     HTML     64K 
16: R2          Consolidated Income Statements (Unaudited)          HTML    149K 
17: R3          Consolidated Comprehensive Income Statements        HTML     67K 
                (Unaudited)                                                      
18: R4          Consolidated Balance Sheets                         HTML    137K 
19: R5          Consolidated Balance Sheets (Parenthetical)         HTML     68K 
20: R6          Consolidated Statements of Changes in Total Equity  HTML     74K 
                (Unaudited)                                                      
21: R7          Consolidated Cash Flow Statements (Unaudited)       HTML    163K 
22: R8          Introduction and Basis of Presentation              HTML     52K 
23: R9          Significant Accounting Policies                     HTML     66K 
24: R10         Fair Value Disclosures                              HTML   1.00M 
25: R11         Derivative Instruments and Hedging Activities       HTML    550K 
26: R12         Investment Securities                               HTML    465K 
27: R13         Collateralized Transactions                         HTML    253K 
28: R14         Loans and Allowance for Credit Losses               HTML    298K 
29: R15         Equity Method Investments                           HTML     53K 
30: R16         Deposits                                            HTML     59K 
31: R17         Borrowings and Other Secured Financings             HTML     68K 
32: R18         Commitments, Guarantees and Contingencies           HTML    218K 
33: R19         Variable Interest Entities and Securitization       HTML    349K 
                Activities                                                       
34: R20         Regulatory Requirements                             HTML    176K 
35: R21         Total Equity                                        HTML    218K 
36: R22         Earnings per Common Share                           HTML     82K 
37: R23         Interest Income and Interest Expense                HTML     68K 
38: R24         Employee Benefit Plans                              HTML     53K 
39: R25         Income Taxes                                        HTML     45K 
40: R26         Segment and Geographic Information                  HTML    180K 
41: R27         Customer Contract Revenue Recognition               HTML    108K 
42: R28         Subsequent Events                                   HTML     42K 
43: R29         Significant Accounting Policies (Policy)            HTML     62K 
44: R30         Fair Value Disclosures (Tables)                     HTML   1.02M 
45: R31         Derivative Instruments and Hedging Activities       HTML    554K 
                (Tables)                                                         
46: R32         Investment Securities (Tables)                      HTML    465K 
47: R33         Collateralized Transactions (Tables)                HTML    256K 
48: R34         Loans and Allowance for Credit Losses (Tables)      HTML    306K 
49: R35         Equity Method Investments (Tables)                  HTML     51K 
50: R36         Deposits (Tables)                                   HTML     59K 
51: R37         Borrowings and Other Secured Financings (Tables)    HTML     67K 
52: R38         Commitments, Guarantees and Contingencies (Tables)  HTML    181K 
53: R39         Variable Interest Entities and Securitization       HTML    348K 
                Activities (Tables)                                              
54: R40         Regulatory Requirements (Tables)                    HTML    165K 
55: R41         Total Equity (Tables)                               HTML    221K 
56: R42         Earnings per Common Share (Tables)                  HTML     81K 
57: R43         Interest Income and Interest Expense (Tables)       HTML     66K 
58: R44         Employee Benefit Plans (Tables)                     HTML     52K 
59: R45         Segment and Geographic Information (Tables)         HTML    185K 
60: R46         Customer Contract Revenue Recognition (Tables)      HTML    109K 
61: R47         Significant Accounting Policies (Details)           HTML     46K 
62: R48         Fair Value Disclosures (Assets and Liabilities      HTML    204K 
                Measured at Fair Value on a Recurring Basis)                     
                (Details)                                                        
63: R49         Fair Value Disclosures (Rollforward of Level 3      HTML    170K 
                Assets and Liabilities Measured at Fair Value on a               
                Recurring Basis) (Details)                                       
64: R50         Fair Value Disclosures (Valuation Techniques and    HTML    230K 
                Sensitivity of Unobservable Inputs Used in                       
                Recurring Level 3 Fair Value Measurements)                       
                (Details)                                                        
65: R51         Fair Value Disclosures (Measured Based on Net       HTML     61K 
                Asset Value) (Details)                                           
66: R52         Fair Value Disclosures (Earnings Impact of          HTML     46K 
                Instruments under the Fair Value Option) (Details)               
67: R53         Fair Value Disclosures (Gains (Losses) Due to       HTML     58K 
                Changes in Instrument-Specific Credit Risk)                      
                (Details)                                                        
68: R54         Fair Value Disclosures (Borrowings Measured at      HTML     54K 
                Fair Value) (Details)                                            
69: R55         Fair Value Disclosures (Excess of Contractual       HTML     44K 
                Principal Amount Over Fair Value) (Details)                      
70: R56         Fair Value Disclosures (Fair Value of Loans in      HTML     42K 
                Nonaccrual Status) (Details)                                     
71: R57         Fair Value Disclosures (Assets Measured at Fair     HTML     73K 
                Value on a Non-Recurring Basis) (Details)                        
72: R58         Fair Value Disclosures (Financial Instruments Not   HTML    126K 
                Measured at Fair Value) (Details)                                
73: R59         Derivative Instruments and Hedging Activities       HTML    185K 
                (Derivative Fair Values) (Details)                               
74: R60         Derivative Instruments and Hedging Activities       HTML    108K 
                (Derivative Notionals) (Details)                                 
75: R61         Derivative Instruments and Hedging Activities       HTML     81K 
                (Gains (Losses) on Accounting Hedges and Trading                 
                Revenues by Product Type) (Details)                              
76: R62         Derivative Instruments and Hedging Activities       HTML     52K 
                (Credit Risk-Related Contingencies) (Details)                    
77: R63         Derivative Instruments and Hedging Activities       HTML    120K 
                (Credit Derivatives and Other Credit Contracts)                  
                (Details)                                                        
78: R64         Investment Securities (AFS and HTM Securities)      HTML    134K 
                (Details)                                                        
79: R65         Investment Securities (Investment Securities in an  HTML    147K 
                Unrealized Loss Position) (Details)                              
80: R66         Investment Securities (Investment Securities by     HTML    202K 
                Contractual Maturity) (Details)                                  
81: R67         Collateralized Transactions (Offsetting of Certain  HTML    115K 
                Collateralized Transactions) (Details)                           
82: R68         Collateralized Transactions (Gross Secured          HTML     85K 
                Financing Balances) (Details)                                    
83: R69         Collateralized Transactions (Assets Pledged)        HTML     45K 
                (Details)                                                        
84: R70         Collateralized Transactions (Collateral Received)   HTML     43K 
                (Details)                                                        
85: R71         Collateralized Transactions (Customer Margin        HTML     39K 
                Lending and Other) (Details)                                     
86: R72         Collateralized Transactions (Restricted Cash and    HTML     46K 
                Segregated Securities) (Details)                                 
87: R73         Loans and Allowance for Credit Losses (Loans Held   HTML    126K 
                for Investment and Held for Sale) (Details)                      
88: R74         Loans and Allowance for Credit Losses (Impaired     HTML     66K 
                Loans) (Details)                                                 
89: R75         Loans and Allowance for Credit Losses (Tdr)         HTML     43K 
                (Details)                                                        
90: R76         Loans and Allowance for Credit Losses (Allowance    HTML     92K 
                for Loan Losses and Lending Commitments                          
                Rollforward) (Details)                                           
91: R77         Loans and Allowance for Credit Losses (Employee     HTML     49K 
                Loans) (Details)                                                 
92: R78         Equity Method Investments (Equity Method            HTML     45K 
                Investment Balances) (Details)                                   
93: R79         Equity Method Investments (Investees) (Details)     HTML     49K 
94: R80         Deposits (Details)                                  HTML     63K 
95: R81         Borrowings and Other Secured Financings (Long-Term  HTML     55K 
                Borrowings) (Details)                                            
96: R82         Borrowings and Other Secured Financings (Other      HTML     46K 
                Secured Financings) (Details)                                    
97: R83         Commitments, Guarantees and Contingencies           HTML     79K 
                (Commitments) (Details)                                          
98: R84         Commitments, Guarantees and Contingencies           HTML    111K 
                (Obligations under Guarantee Arrangements)                       
                (Details)                                                        
99: R85         Commitments, Guarantees and Contingencies           HTML    105K 
                (Contingencies) (Details)                                        
100: R86         Variable Interest Entities and Securitization       HTML     50K  
                Activities (Consolidated VIEs) (Details)                         
101: R87         Variable Interest Entities and Securitization       HTML     76K  
                Activities (Assets and Liabilities by Balance                    
                Sheet Caption) (Details)                                         
102: R88         Variable Interest Entities and Securitization       HTML    102K  
                Activities (Non-Consolidated VIEs) (Details)                     
103: R89         Variable Interest Entities and Securitization       HTML     85K  
                Activities (Transfers of Assets with Continuing                  
                Involvement 1) (Details)                                         
104: R90         Variable Interest Entities and Securitization       HTML     70K  
                Activities (Transfers of Assets with Continuing                  
                Involvement 2) (Details)                                         
105: R91         Variable Interest Entities and Securitization       HTML     50K  
                Activities (Proceeds from New Securitization                     
                Transactions and Sales of Loans) (Details)                       
106: R92         Variable Interest Entities and Securitization       HTML     53K  
                Activities (Assets Sold with Retained Exposure)                  
                (Details)                                                        
107: R93         Variable Interest Entities and Securitization       HTML     42K  
                Activities (Failed Sales) (Details)                              
108: R94         Regulatory Requirements (Narrative) (Details)       HTML     45K  
109: R95         Regulatory Requirements (Capital Measures)          HTML     82K  
                (Details)                                                        
110: R96         Regulatory Requirements (U.S. Bank Subsidiaries'    HTML     86K  
                Regulatory Capital and Capital Ratios) (Details)                 
111: R97         Regulatory Requirements (Broker-Dealer Regulatory   HTML     47K  
                Capital Requirements) (Details)                                  
112: R98         Total Equity (Dividends and Share Repurchases)      HTML     56K  
                (Details)                                                        
113: R99         Total Equity (Preferred Stock General Disclosure)   HTML     42K  
                (Details)                                                        
114: R100        Total Equity (Preferred Stock Outstanding)          HTML     83K  
                (Details)                                                        
115: R101        Total Equity (Aoci) (Details)                       HTML     59K  
116: R102        Total Equity (Components of Period Changes in OCI   HTML    175K  
                ) (Details)                                                      
117: R103        Total Equity (Cumulative Adjustments to Retained    HTML     51K  
                Earnings) (Details)                                              
118: R104        Earnings per Common Share (Calculation of Basic     HTML    101K  
                and Diluted EPS) (Details)                                       
119: R105        Interest Income and Interest Expense (Details)      HTML     66K  
120: R106        Employee Benefit Plans (Net Periodic Benefit        HTML     53K  
                Expense (Income)) (Details)                                      
121: R107        Segment and Geographic Information (Selected        HTML     97K  
                Financial Information by Business Segment)                       
                (Details)                                                        
122: R108        Segment and Geographic Information (Assets by       HTML     47K  
                Business Segment) (Details)                                      
123: R109        Segment and Geographic Information (Additional      HTML     43K  
                Information - Investment Management) (Details)                   
124: R110        Segment and Geographic Information (Net Revenues    HTML     46K  
                by Region) (Details)                                             
125: R111        Customer Contract Revenue Recognition (Customer     HTML     81K  
                Contract Renenues) (Details)                                     
126: R112        Customer Contract Revenue Recognition (Change in    HTML     63K  
                Revenue) (Details)                                               
127: R113        Customer Contract Revenue Recognition (Balance      HTML     51K  
                Sheet Amounts) (Details)                                         
128: R114        Customer Contract Revenue Recognition (Future       HTML     49K  
                Expected Revenues) (Details)                                     
130: XML         IDEA XML File -- Filing Summary                      XML    262K  
129: EXCEL       IDEA Workbook of Financial Reports                  XLSX    196K  
 9: EX-101.INS  XBRL Instance -- ms-20180331                         XML  13.13M 
11: EX-101.CAL  XBRL Calculations -- ms-20180331_cal                 XML    640K 
12: EX-101.DEF  XBRL Definitions -- ms-20180331_def                  XML   3.52M 
13: EX-101.LAB  XBRL Labels -- ms-20180331_lab                       XML   6.88M 
14: EX-101.PRE  XBRL Presentations -- ms-20180331_pre                XML   4.78M 
10: EX-101.SCH  XBRL Schema -- ms-20180331                           XSD    699K 
131: ZIP         XBRL Zipped Folder -- 0001193125-18-152899-xbrl      Zip    913K  


‘EX-32.1’   —   Certification — §906 – SOA’02


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



  EX-32.1  

EXHIBIT 32.1

CERTIFICATION PURSUANT TO

18 U.S.C. SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

In connection with the Quarterly Report of Morgan Stanley (the “Firm”) on Form 10-Q for the quarter ended March 31, 2018 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, James P. Gorman, Chairman of the Board and Chief Executive Officer of the Firm, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that:

 

  1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

 

  2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Firm.

 

/s/ JAMES P. GORMAN

James P. Gorman
Chairman of the Board and
Chief Executive Officer

Dated: May 4, 2018


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-Q’ Filing    Date    Other Filings
Filed on:5/4/18424B2,  FWP
For Period end:3/31/1813F-HR,  13F-HR/A,  FWP
 List all Filings 


4 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/22/24  Morgan Stanley                    10-K       12/31/23  224:45M
 2/24/23  Morgan Stanley                    10-K       12/31/22  227:50M
 2/24/22  Morgan Stanley                    10-K       12/31/21  225:51M
 2/26/21  Morgan Stanley                    10-K       12/31/20  225:50M
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Filing Submission 0001193125-18-152899   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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