UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-Q/A
Amendment
No. 1
x QUARTERLY REPORT PURSUANT TO
SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE
ACT OF 1934
For the quarterly period ended
March 31, 2010
OR
¨ TRANSITION REPORT PURSUANT TO
SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE
ACT OF 1934
Commission
File Number 1-11758
(Exact
Name of Registrant as specified in its charter)
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Delaware
(State or other jurisdiction of
incorporation or organization) |
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1585
Broadway
New
York, NY 10036
(Address of principal executive
offices, including zip code) |
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36-3145972
(I.R.S. Employer Identification No.) |
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(212)
761-4000
(Registrant’s telephone number,
including area code) |
Indicate
by check mark whether the Registrant (1) has filed all reports required to
be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934
during the preceding 12 months (or for such shorter period that the Registrant
was required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes x No ¨
Indicate
by check mark whether the Registrant has submitted electronically and posted on
its corporate Web site, if any, every Interactive Data File required to be
submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of
this chapter) during the preceding 12 months (or for such shorter period that
the Registrant was required to submit and post such
files). Yes x No ¨
Indicate
by check mark whether the Registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company. See
the definitions of “large accelerated filer,” “accelerated filer” and “smaller
reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
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Large
Accelerated Filer x |
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Accelerated Filer ¨ |
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Non-Accelerated Filer ¨ |
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Smaller
reporting company ¨ |
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(Do
not check if a smaller reporting company) |
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Indicate
by check mark whether the Registrant is a shell company (as defined in Rule
12b-2 of the Exchange Act). Yes ¨ No x
As of
April 30, 2010, there were 1,397,819,191 shares of the Registrant’s Common
Stock, par value $0.01 per share, outstanding.
EXPLANATORY
NOTE
This
amendment on Form 10-Q/A amends Morgan Stanley’s (the “Company”) Quarterly
Report on Form 10-Q for the period ended March 31, 2010, as initially filed with
the Securities and Exchange Commission on May 7, 2010 (the “Report”), and is
being filed to include Part I, Item 4 in the Report, which had been
inadvertently omitted.
This
amendment does not reflect events after the filing of the original Report and
does not modify or update disclosures as originally filed, except as required to
reflect the additional information provided herein.
Item
4. Controls and Procedures.
Under the supervision and with the
participation of the Company’s management, including our Chief Executive
Officer and Chief Financial
Officer, we conducted an evaluation of the effectiveness of the Company’s
disclosure controls and
procedures (as defined in Rule 13a-15(e) of the Securities Exchange Act of 1934,
as amended (the “Exchange
Act”)). Based on this evaluation, our Chief Executive Officer and Chief
Financial Officer
concluded that our disclosure controls and procedures were effective as of the
end of the period covered by this report.
No change in the Company’s internal
control over financial reporting (as defined in Rule 13a-15(f) of the
Exchange Act) occurred during the
period covered by this report that materially affected, or is reasonably
likely to materially
affect, the Company’s internal control over financial
reporting.
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant has
duly caused this Form 10-Q/A to be signed on its behalf by the undersigned
thereunto duly authorized.
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MORGAN
STANLEY
(Registrant) |
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| By: |
/s/
Ruth Porat |
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Ruth
Porat
Executive
Vice President
and
Chief Financial Officer |
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| By: |
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Paul
C. Wirth
Finance
Director and Controller |
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Date:
May 11, 2010
EXHIBIT
INDEX
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31.1 |
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Rule
13a-14(a) Certification of Chief Executive Officer. |
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31.2 |
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Rule
13a-14(a) Certification of Chief Financial Officer. |
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32.1 |
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Section
1350 Certification of Chief Executive Officer. |
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32.2 |
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Section
1350 Certification of Chief Financial
Officer. |
4