Cancelling Transactions
This dept. can assist with cancelling a pending TA transaction.
Who/what is TL/POD/Management?
All brokerage accounts require review and approval by a ________ General Securities Principal before being opened.
What is Series 24?
AIP and AWP stand for this?
What is Automatic investment plan and Automatic withdrawal plan?
The settlement timeframes for a stock.
What is t+2?
The founder of Vanguards full name.
What is John Clifton Bogle?
This dept. can possibly assist with cancelling transactions in a VBA for a vanguard mutual fund after 105 mins. before market close.
Who is Fund Access?
VBA IRAs for ________ cannot be opened online.
What is minor?
All CWR checks in VBA clear through this.
What is settlement fund?
The settlement timeframe for a vanguard mutual fund.
What is t+1?
The dept. that can assist with UIT transactions.
What is fixed income?
Generally, current day Vanguard fund orders in a Vanguard Brokerage Account (VBA) that are not Large or Qualified orders, can be cancelled up until _____ seconds before market close.
What is 6300?
The mutual fund that is the settlement fund for all new VBA.
What is the federal money market?
This is something that can be setup in a VBA CWR that acts similar to overdraft protection at a bank.
What is ARF (alternative redemption fund)?
VBA transaction history will typically show this for every transaction.
What is double entry or debit and credit?
The options for dividends from a vanguard mutual fund in a VBA account .
What are
These 2 departments can possibly assist with cancelling a VBA settlement fund cancellation.
Who are Fund Access and 4help?
If the client e-signs online and their account is not immediately approved via the enhanced automated S24 approval process, they will receive immediate messaging on confirmation screen that they will receive notification from Vanguard within ______ hrs regarding the status of their new VBA.
What is 24 to 48?
The reason we need the bank authorization agreement post upgrade is because TA utilizes _________ bank and VBA utilizes _______ bank.
What are Wells Fargo and BONY?
T+2 means this.
What is trade date plus two business days?
This dept. can assist with status updates on ETF conversions.
What is Corporate Actions?
A client is disputing a call to a transaction that has already posted in TA account. This dept. should be able to assist.
Who is RRS?
If the account cannot be approved in real time, the application will be routed for_________ _________ and processing via AWD.
What is manual approval ?
To change dividend elections, we must receive the instructions at least _______ ________ ______ before the _______ ________ for the changes to be effective with that distribution.
What is two business days and payable date?
This desk can assist with next day settlement when its a security that typically has a t+2 settlement timeframe.
What is block desk?
In Non-vanguard mutual funds, which tab on a fund page in Vanguard.com can you locate if the fund is DCA eligible.
What is fees and minimums?