2020065102001 Morgan Stanley Smith Barney LLC CRD 149777 AWC lp (2024-1710634814366).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065102001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Morgan Stanley Smith Barney LLC (Respondent) Member Firm CRD No. 149777 Pursuant to FINRA Rule 9216, Respondent Morgan Stanley Smith Barney LLC (Morgan Stanley) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

CFHC

Certified Financial Health Counselor (CFHC)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization National Association of Certified Credit Counselors
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

Four-module online course
Designation Exam Type

Online, proctored final exam
Continuing Education Requirements

16 hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

CFC

Certified Financial Counselor (CFC)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization National Association of Certified Credit Counselors
Qualification and Training Requirements
Prerequisites

None
Designation Training Requirements

12-module online course
Designation Exam Type

Online, proctored final exam
Continuing Education Requirements

16 hours every two years
Verification and Complaints
Online Designation Resource

None
Investor Complaint Process

None
Published List of Disciplined Designees

None

 
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