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Morgan Stanley said the Securities and Exchange Commission’s enforcement division closed its investigation into the company’s ...
Wall Street giant avoids penalties as regulator ends yearlong review of interest treatment on idle client cash.
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US SEC ends inquiry into Morgan Stanley's cash sweep program with no enforcement action(Reuters) -The U.S. Securities and Exchange Commission has ended its investigation into Morgan Stanley's cash sweep program for advisory accounts and will not pursue enforcement action, the Wall ...
The agency concluded its probe into the bank’s interest rate-related program. The bank still faces an investigation from a state regulator, though.
A decision by the Securities and Exchange Commission to close an investigation into the cash sweep program at Morgan Stanley ...
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