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VBA in-kind
Transfer Issues
COO
4help
Potpourri
100
The client has two options to transfer __________ or _____________.

What is and liquidate (as cash) or in-kind?

100

This is the form if processing forgot to process a transfer request.

What is TOA Missed Transfer or TYT Form?

100

If they are 7 coo requests this is the amount of coo forms that would be needed.

What is 7?

100

The 4help ext. in all numerals.

What is 44357?

100

This is the max amount that vanguard will transfer for an acat.

What is 250?

200

This type of transfer is electronic, preferred method for vanguard with VBA.

What is ACAT?

200

If a client decides to cancel transfer that has already been submitted, they can submit this request and vanguard will try to do it as a best effort basis.

What is rescind letter?

200

Name 3 authentications that may be required for coo.

What are SG, MSG, VV, or KBA?

200

The name of the article that goes over the procedure when you need to use crewchat to get an override.

What is Multi-Site Approval—Flagship and Retail Services Phone Associates?

200

TA stands for this.

What is transfer agent?

300

This type of transfer is for mutual funds that do not go through the acat.

What is PTF?

300

Name 3 systems that you can check the status of a transfer issue/NIGO.

What are CRM, TYT link, AWD, and Thomson Link?

300
You would need to check _____ or _______ to see if how many trustees need to sign a coo form if sig. are required.

What is the open an account form or TCF?

300
The softphone procedures when you do need to reach out to help.

What is placed the client on hold and open a new line?

300

The name of the form to do a TA inkind transfer request for non-retirement.

What is In-Kind Transfer Authorization form?

400
A residual transfer can typically last this long on an account.

What is up to 6 months?

400
Account flat means___________________.

What is zero balance and/or closed?

400

To find almost any coo situation infowave, a rep would search __________ ____________.

What is account registration type and transfer?

400

Name the Department that 4help falls under.

What is Crew Success?

400

The name of the dept. that can assist with selling foreign securities.

What is Block-Options desk?

500

DRS stand for this:

What is Direct Registration System?

500

This dept can assist in certain situations when there is an issue with a transfer.

What is BRS?

500

The name of the COO presenter first and last.

What is Joseph "Jay" Nulty?

500

Name (first and last) the 4help admin. that came after me when doing floor support.

Who is Bradford Casten?

500

The options to remove a minor ira are _________ or _____________.

What is over the phone or loi?