Quarterly Report — Form 10-Q Filing Table of Contents
Document/ExhibitDescriptionPagesSize
1: 10-Q Quarterly Report HTML 3.69M
2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 1.08M
3: EX-15 Letter re: Unaudited Interim Financial Info HTML 49K
4: EX-31.1 Certification -- §302 - SOA'02 HTML 45K
5: EX-31.2 Certification -- §302 - SOA'02 HTML 45K
6: EX-32.1 Certification -- §906 - SOA'02 HTML 42K
7: EX-32.2 Certification -- §906 - SOA'02 HTML 42K
14: R1 Cover Page HTML 118K
15: R2 Consolidated Income Statements (Unaudited) HTML 144K
16: R3 Consolidated Comprehensive Income Statements HTML 78K
(Unaudited)
17: R4 Consolidated Balance Sheets HTML 141K
18: R5 Consolidated Balance Sheets (Parenthetical) HTML 72K
19: R6 Consolidated Statements of Changes in Total Equity HTML 97K
(Unaudited)
20: R7 Consolidated Cash Flow Statements (Unaudited) HTML 135K
21: R8 Introduction and Basis of Presentation HTML 52K
22: R9 Significant Accounting Policies HTML 44K
23: R10 Acquisitions HTML 68K
24: R11 Cash and Cash Equivalents HTML 50K
25: R12 Fair Values HTML 654K
26: R13 Fair Value Option HTML 90K
27: R14 Derivative Instruments and Hedging Activities HTML 426K
28: R15 Investment Securities HTML 256K
29: R16 Collateralized Transactions HTML 151K
30: R17 Loans, Lending Commitments and Related Allowance HTML 363K
for Credit Losses
31: R18 Other Assets - Equity Method Investments HTML 53K
32: R19 Deposits HTML 57K
33: R20 Borrowings and Other Secured Financings HTML 60K
34: R21 Commitments, Guarantees and Contingencies HTML 127K
35: R22 Variable Interest Entities and Securitization HTML 251K
Activities
36: R23 Regulatory Requirements HTML 151K
37: R24 Total Equity HTML 216K
38: R25 Interest Income and Interest Expense HTML 67K
39: R26 Income Taxes HTML 46K
40: R27 Segment, Geographic and Revenue Information HTML 216K
41: R28 Significant Accounting Policies (Policies) HTML 50K
42: R29 Acquisitions (Tables) HTML 70K
43: R30 Cash and Cash Equivalents (Tables) HTML 48K
44: R31 Fair Values (Tables) HTML 846K
45: R32 Fair Value Option (Tables) HTML 84K
46: R33 Derivative Instruments and Hedging Activities HTML 438K
(Tables)
47: R34 Investment Securities (Tables) HTML 259K
48: R35 Collateralized Transactions (Tables) HTML 158K
49: R36 Loans, Lending Commitments and Related Allowance HTML 364K
for Credit Losses (Tables)
50: R37 Other Assets - Equity Method Investments (Tables) HTML 54K
51: R38 Deposits (Tables) HTML 58K
52: R39 Borrowings and Other Secured Financings (Tables) HTML 60K
53: R40 Commitments, Guarantees and Contingencies (Tables) HTML 106K
54: R41 Variable Interest Entities and Securitization HTML 257K
Activities (Tables)
55: R42 Regulatory Requirements (Tables) HTML 149K
56: R43 Total Equity (Tables) HTML 257K
57: R44 Interest Income and Interest Expense (Tables) HTML 67K
58: R45 Segment, Geographic and Revenue Information HTML 222K
(Tables)
59: R46 Acquisitions - Narrative (Details) HTML 60K
60: R47 Acquisitions - Purchase Price Allocation (Details) HTML 75K
61: R48 Acquisitions - Acquired Intangible Assets HTML 60K
(Details)
62: R49 Acquisitions - Proforma Combined Financial HTML 47K
Information (Details)
63: R50 Cash and Cash Equivalents - Summary (Details) HTML 52K
64: R51 Fair Values - Assets and Liabilities Measured at HTML 221K
Fair Value on a Recurring Basis (Details)
65: R52 Fair Values - Detail of Loans and Lending HTML 57K
Commitments at Fair Value (Details)
66: R53 Fair Values - Detail of Unsettled Fair Value of HTML 46K
Futures Contracts (Details)
67: R54 Fair Values - Activity of Level 3 Assets and HTML 172K
Liabilities Measured at Fair Value on a Recurring
Basis (Details)
68: R55 Fair Values - Valuation Techniques and Sensitivity HTML 351K
of Unobservable Inputs Used in Level 3 Fair Value
Measurements (Details)
69: R56 Fair Values - Fund Interests Measured Based on Net HTML 64K
Asset Value (Details)
70: R57 Fair Values - Assets and Liabilities Measured at HTML 88K
Fair Value on a Nonrecurring Basis (Details)
71: R58 Fair Values - Financial Instruments Not Measured HTML 112K
at Fair Value (Details)
72: R59 Fair Value Option - Borrowings Measured at Fair HTML 56K
Value on a Recurring Basis (Details)
73: R60 Fair Value Option - Net Revenues from Borrowings HTML 48K
under the Fair Value Option (Details)
74: R61 Fair Value Option - Gains (Losses) Due to Changes HTML 60K
in Instrument-Specific Credit Risk (Details)
75: R62 Fair Value Option - Difference Between Contractual HTML 47K
Principal and Fair Value (Details)
76: R63 Fair Value Option - Fair Value Loans on Nonaccrual HTML 45K
Status (Details)
77: R64 Derivative Instruments and Hedging Activities - HTML 189K
Fair Values of Derivative Contracts (Details)
78: R65 Derivative Instruments and Hedging Activities - HTML 119K
Notionals of Derivative Contracts (Details)
79: R66 Derivative Instruments and Hedging Activities - HTML 81K
Gains (Losses) on Accounting Hedges and Fair Value
Hedges (Details)
80: R67 Derivative Instruments and Hedging Activities - HTML 45K
Economic Loan Hedges (Details)
81: R68 Derivative Instruments and Hedging Activities - HTML 45K
Net Derivative Liabilities and Collateral Posted
(Details)
82: R69 Derivative Instruments and Hedging Activities - HTML 49K
Incremental Collateral and Termination Payments
upon Potential Future Ratings Downgrade (Details)
83: R70 Derivative Instruments and Hedging Activities - HTML 103K
Maximum Potential Payout/Notional of Credit
Protection Sold (Details)
84: R71 Derivative Instruments and Hedging Activities - HTML 59K
Fair Value Asset/(Liability) of Credit Protection
Sold (Details)
85: R72 Derivative Instruments and Hedging Activities - HTML 55K
Protection Purchased with CDS (Details)
86: R73 Investment Securities - AFS and HTM Securities HTML 107K
(Details)
87: R74 Investment Securities - Investment Securities in HTML 82K
an Unrealized Loss Position (Details)
88: R75 Investment Securities - Narrative (Details) HTML 45K
89: R76 Investment Securities - Investment Securities by HTML 192K
Contractual Maturity (Details)
90: R77 Investment Securities - Gross Realized Gains HTML 47K
(Losses) on Sales of AFS Securities (Details)
91: R78 Collateralized Transactions - Offsetting of HTML 110K
Certain Collateralized Transactions (Details)
92: R79 Collateralized Transactions - Gross Secured HTML 79K
Financing Balances (Details)
93: R80 Collateralized Transactions - Assets Loaned or HTML 43K
Pledged (Details)
94: R81 Collateralized Transactions - Collateral Received HTML 45K
(Details)
95: R82 Collateralized Transactions - Securities HTML 42K
Segregated for Regulatory Purposes (Details)
96: R83 Collateralized Transactions - Customer Margin HTML 42K
Lending (Details)
97: R84 Loans, Lending Commitments and Related Allowance HTML 92K
for Credit Losses - Loans by Type (Details)
98: R85 Loans, Lending Commitments and Related Allowance HTML 139K
for Credit Losses - Loans Held for Investment
before Allowance by Origination Year (Details)
99: R86 Loans, Lending Commitments and Related Allowance HTML 52K
for Credit Losses - Past Due Loans Held for
Investment before Allowance (Details)
100: R87 Loans, Lending Commitments and Related Allowance HTML 54K
for Credit Losses - Nonaccrual Loans Held for
Investment before Allowance (Details)
101: R88 Loans, Lending Commitments and Related Allowance HTML 46K
for Credit Losses - Troubled Debt Restructurings
(Details)
102: R89 Loans, Lending Commitments and Related Allowance HTML 94K
for Credit Losses - Allowance for Credit Losses
Rollforward - Loans and Lending Commitments
(Details)
103: R90 Loans, Lending Commitments and Related Allowance HTML 62K
for Credit Losses - Employee Loans (Details)
104: R91 Other Assets - Equity Method Investments - HTML 48K
Balances (Details)
105: R92 Other Assets - Equity Method Investments - Joint HTML 46K
Ventures (Details)
106: R93 Deposits - Summary (Details) HTML 50K
107: R94 Deposits - Time Deposit Maturities (Details) HTML 55K
108: R95 Borrowings and Other Secured Financings - HTML 56K
Borrowings (Details)
109: R96 Borrowings and Other Secured Financings - Other HTML 48K
Secured Financings (Details)
110: R97 Commitments, Guarantees and Contingencies - HTML 83K
Commitments (Details)
111: R98 Commitments, Guarantees and Contingencies - HTML 102K
Obligations under Guarantee Arrangements (Details)
112: R99 Commitments, Guarantees and Contingencies - HTML 61K
Narrative (Details)
113: R100 Variable Interest Entities and Securitization HTML 60K
Activities - Assets and Liabilities by Type of
Activity (Details)
114: R101 Variable Interest Entities and Securitization HTML 74K
Activities - Assets and Liabilities by Balance
Sheet Caption (Details)
115: R102 Variable Interest Entities and Securitization HTML 114K
Activities - Non-Consolidated VIEs (Details)
116: R103 Variable Interest Entities and Securitization HTML 65K
Activities - Mortgage and Asset Backed
Securitization Assets (Details)
117: R104 Variable Interest Entities and Securitization HTML 84K
Activities - Transferred Assets with Continuing
Involvement (Details)
118: R105 Variable Interest Entities and Securitization HTML 69K
Activities - Fair Value of Transfers of Assets
with Continuing Involvement (Details)
119: R106 Variable Interest Entities and Securitization HTML 51K
Activities - Proceeds from New Securitization
Transactions and Sales of Loans (Details)
120: R107 Variable Interest Entities and Securitization HTML 56K
Activities - Assets Sold with Retained Exposure
(Details)
121: R108 Regulatory Requirements - Risk-Based Regulatory HTML 88K
Capital Ratio Requirements (Details)
122: R109 Regulatory Requirements - The Firm's Regulatory HTML 77K
Capital and Capital Ratios (Details)
123: R110 Regulatory Requirements - U.S. Bank Subsidiaries' HTML 104K
Regulatory Capital and Capital Ratios (Details)
124: R111 Regulatory Requirements - U.S. Broker-Dealer HTML 46K
Regulatory Capital Requirements (Details)
125: R112 Total Equity - Preferred Stock Outstanding HTML 80K
(Details)
126: R113 Total Equity - Narrative (Details) HTML 46K
127: R114 Total Equity - Common Stock Repurchases (Details) HTML 43K
128: R115 Total Equity - Common Shares Outstanding for Basic HTML 50K
and Diluted EPS (Details)
129: R116 Total Equity - Dividends (Details) HTML 76K
130: R117 Total Equity - Accumulated Other Comprehensive HTML 69K
Income (Loss) (Details)
131: R118 Total Equity - Components of Period Changes in OCI HTML 119K
(Details)
132: R119 Interest Income and Interest Expense - Summary HTML 68K
(Details)
133: R120 Interest Income and Interest Expense - Accrued HTML 45K
Interest (Details)
134: R121 Segment, Geographic and Revenue Information - HTML 139K
Selected Financial Information by Business Segment
(Details)
135: R122 Segment, Geographic and Revenue Information - HTML 53K
Institutional Securities - Investment Banking
Revenues (Details)
136: R123 Segment, Geographic and Revenue Information - HTML 54K
Trading Revenues by Product Type (Details)
137: R124 Segment, Geographic and Revenue Information - HTML 42K
Investment Management Investments Revenues - Net
Unrealized Carried Interest (Details)
138: R125 Segment, Geographic and Revenue Information - HTML 42K
Investment Management Asset Management Revenues -
Reduction of Fees due to Fee Waivers (Details)
139: R126 Segment, Geographic and Revenue Information - HTML 42K
Other Expenses - Transaction Taxes (Details)
140: R127 Segment, Geographic and Revenue Information - Net HTML 51K
Revenues by Region (Details)
141: R128 Segment, Geographic and Revenue Information - HTML 42K
Revenue Recognized from Prior Services (Details)
142: R129 Segment, Geographic and Revenue Information - HTML 43K
Receivables from Contracts with Customers
(Details)
143: R130 Segment, Geographic and Revenue Information - HTML 52K
Assets by Business Segment (Details)
144: R9999 Uncategorized Items - ms-20210331.htm HTML 50K
146: XML IDEA XML File -- Filing Summary XML 289K
13: XML XBRL Instance -- ms-20210331_htm XML 12.32M
145: EXCEL IDEA Workbook of Financial Reports XLSX 231K
9: EX-101.CAL XBRL Calculations -- ms-20210331_cal XML 469K
10: EX-101.DEF XBRL Definitions -- ms-20210331_def XML 1.82M
11: EX-101.LAB XBRL Labels -- ms-20210331_lab XML 3.45M
12: EX-101.PRE XBRL Presentations -- ms-20210331_pre XML 2.35M
8: EX-101.SCH XBRL Schema -- ms-20210331 XSD 413K
147: JSON XBRL Instance as JSON Data -- MetaLinks 730± 1.17M
148: ZIP XBRL Zipped Folder -- 0000895421-21-000334-xbrl Zip 1.33M
1.I have reviewed this quarterly report on Form 10-Q of Morgan Stanley;
2.Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading
with respect to the period covered by this report;
3.Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
4.The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the
registrant and have:
a)Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b)Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements
for external purposes in accordance with generally accepted accounting principles;
c)Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
d)Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the
registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
5.The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
a)All
significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
b)Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.