VBA

VBA account/approval

100

The ________ _________ approves all new VBA.

What is Series 24?

200

This is the online process associated with new VBA accounts that test public information prior to allowing it to be opened online.

What is the online KBA process?

300

This is what VBA stands for.

What is Vanguard Brokerage account?

400

OAA stands for this

What is open an account?

500

Brokerage accounts opened online are submitted for Series 24 approval in ____ _____.

What is real time?

VBA settlement and transactions

100

LMV stands for this.

What is long market value?

200

_____ ________ is when a client is able to purchase from a bank to a vanguard mutual fund.

What is a direct buy?

300

You can send funds from the settlement fund to the client these 3 ways.

What is wire, ach, or check?

400

Funds are that are uncollected you can still purchase this investment.

What are vanguard mutual funds?

500

This is vanguard's default method for cost basis when selling if not elected.

What is average cost?

Cancelling a transaction

100

This person can cancel a TA transaction.

Who is a supervisor/tl?

200

4help can only cancel these type of vba transactions

What are settlement fund transactions?

300

This group may be able to cancel vanguard mutual funds in a vba, when it has passed the 105 minute mark.

What is Fund Access Trade support?

400

This is the amount in seconds that someone can cancel before market close.

What is 6300?

500

This is the system that a tl would cancel a TA transaction if they had too.

What is vast?

VBA AWP and AIP, CWR

100

This is what aip and awp stand for respectively.

What is automatic investment plan and automatic withdrawal plan?

200

This automatic option is not available for VBA.

What is AES?

300

This is what CWR stand for

What is checkwriting (also referred as check writing redemption as well)?

400

The minimum we state to clients for cwr and the actual minimum.

What are 250 and any amount?

500

Name one fund that is not eligible for VBA cwr ARF.

What are: 

• High-Yield Corporate Fund Investor and Admiral Shares (29, 529)
• Prime Money Market Fund Admiral Shares (66)
• Total International Bond Index Fund Investor and Admiral Shares (1231, 511)
• Emerging Markets Government Bond Index Fund Investor and Admiral Shares (1120, 520).
• Emerging Markets Bond Fund Investor Shares (1431) and Admiral Shares (1531).

Potpourri

100

These are the three options that can update the bank authorization agreement on a bank account that requires one.

What are the updated bank authorization agreement form, the BTSF, or deleting the existing bank and re-adding the bank? 

200

These are the dividend options for a stock.

What are reinvest or send to settlement fund?

300

These are the four options for a vanguard mutual fund dividends in a vba.

What are reinvest, send to settlement fund, send by check, send ach/to bank?

400

The name the current and first CEO of vanguard.

Who are Buckley and Bogle?

500

The # signature(s) required on a vba CWR check.

What is 1?