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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
EXCHANGE ACT NASD MORGAN EXEMPTION MUNICIPAL SECURITIES BUSINESS REVIEW COMMISSION JURISDICTION MEMBER PROHIBITION RULE G-37 FIRM MATTER ENGAGING REGISTERED SECURITIES ASSOCIATION MORGAN STANLEY MEMBERSHIP SECURITIES DEALERS PROHIBITED CONTRIBUTION JOHN RAMSAY NASD REGULATION FIXED INCOME COMMITTEE MUNICIPAL SECURITIES MARKET RESTRICTION AGREEMENT DETERMINATION TAGUE SECURITIES SRO STOCK EXCHANGE TRADING FLOOR |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Release No. 39459 / December 17, 1997
Admin. Proc. File No. 3-9289
_________________________________________________
:
In the Matter of the Application of :
:
MORGAN STANLEY & CO., INC. :
:
:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF ASSOCIATION
ACTION
Jurisdiction to Review Action of Association
Member firm of registered securities association was denied
exemption
from two-year prohibition on engaging in municipal securities
business
in state where associated person made prohibited contribution to
state
official. Held, the matter is not reviewable by the Commission
because the denial of the exemption does not constitute any of
the
actions enumerated in Section 19(d) of the Securities Exchange Act
of
1934, and application for review is dismissed.
APPEARANCES:
Kenneth A. Gross, of Skadden, Arps, Slate, Meagher & Flom LLP,
for
Morgan Stanley & Co., Inc.
Alden S. Adkins, John Ramsay, and John Pilcher, for NASD
Regulation,
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