摩根士丹利 Morgan Stanley (MS) 2013年10-K年度报告「NYSE」.pdf

1、UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington,D.C.20549FORM 10-KAnnual Report Pursuant to Section 13 or 15(d)of the Securities Exchange Act of 1934For the year ended December 31,2013Commission File Number 1-11758(Exact name of Registrant as specified in its charter)Delaware(State or oth

2、er jurisdiction ofincorporation or organization)1585 BroadwayNew York,NY 10036(Address of principal executive offices,including zip code)36-3145972(I.R.S.Employer Identification No.)(212)761-4000(Registrants telephone number,including area code)Title of each className of exchange onwhich registeredS

3、ecurities registered pursuant to Section 12(b)of the Act:Common Stock,$0.01 par value.New York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Floating Rate Non-Cumulative Preferred Stock,Series A,$0.01 par value.New York Stock ExchangeDepositary Shares,each repres

4、enting 1/1,000th interest in a share of Fixed-to-Floating Rate Non-Cumulative PreferredStock,Series E,$0.01 par value.New York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating Rate Non-Cumulative PreferredStock,Series F,$0.01 par value.New York Sto

5、ck Exchange61/4%Capital Securities of Morgan Stanley Capital Trust III(and Registrants guaranty with respect thereto).New York Stock Exchange61/4%Capital Securities of Morgan Stanley Capital Trust IV(and Registrants guaranty with respect thereto).New York Stock Exchange53/4%Capital Securities of Mor

6、gan Stanley Capital Trust V(and Registrants guaranty with respect thereto).New York Stock Exchange6.60%Capital Securities of Morgan Stanley Capital Trust VI(and Registrants guaranty with respect thereto).New York Stock Exchange6.60%Capital Securities of Morgan Stanley Capital Trust VII(and Registran