# EDGAR Filing Document

**Accession Number:** 0000735286
**File Stem:** 0000735286-23-000002
**Filing Date:** 2023-1
**Character Count:** 12925
**Document Hash:** a4c2121bf4e9617499178540ec9fa287
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000735286-23-000002.hdr.sgml**: 20230111

**ACCESSION NUMBER**: 0000735286-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230103

**DATE AS OF CHANGE**: 20230111

**EFFECTIVENESS DATE**: 20230113

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** VANGUARD GROUP INC
- **CENTRAL INDEX KEY:** 0000735286
- **IRS NUMBER:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-00772
- **FILM NUMBER:** 23523310

**BUSINESS ADDRESS:**
- **STREET 1:** 100 VANGUARD BLVD
- **CITY:** MALVERN
- **STATE:** PA
- **ZIP:** 19355
- **BUSINESS PHONE:** 610-669-1000

**MAIL ADDRESS:**
- **STREET 1:** 400 DEVON PARK DR
- **CITY:** WAYNE
- **STATE:** PA
- **ZIP:** 19087

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** VANGUARD GROUP INC

**FINS Number:** 385385

**Address of principal office where transfer agent activities are performed:** 100 Vanguard Boulevard, M39, Malvern, PA, 19355-2900

**Is mailing address different from principal office address?:** No

**Telephone Number:** 610-669-1000

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 2525 Water Ridge Parkway, 1 North Falls Plaza, Charlotte, NC, 28217

**Other Business Location Address 2:** 14321 North Northsight Blvd, Scottsdale, AZ, 85260

**Other Business Location Address 3:** 7900 Windrose Avenue, Plano, TX, 75024

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** Yes

**Service Company Arrangement 1:**

- **Name:** Ascensus College Savings Recordkeeping Services, LLC.

- **File Number:** 084-06488

- **Address:** 95 Wells Avenue, Suite 160, Newton, MA, 02459

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name               | Relationship Start Date   | Title or Status                   | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| Amy NMN Gutmann           | 06/30/2006                | Director                          | NA               | Yes              | 02/22/2022              |
| Andre Francois Perold     | 12/31/2004                | Director                          | NA               | Yes              |  |
| Francis Joseph Loughrey   | 10/01/2009                | Director                          | NA               | Yes              |  |
| Michael Thomas Rollings   | 06/06/2006                | Managing Director                 | NA               | Yes              |  |
| Mark NMN Loughridge       | 03/22/2012                | Director                          | NA               |  |  |
| Scott Charles Malpass     | 03/22/2012                | Director                          | NA               | Yes              |  |
| Peter Frederick Volanakis | 12/01/2008                | Director                          | NA               | Yes              |  |
| Mortimer Joseph Buckley   | 01/31/2003                | Chief Executive Officer, Director | NA               | Yes              |  |
| Chris Davis McIsaac       | 01/07/2012                | Managing Director                 | NA               | Yes              |  |
| John Thomas Marcante      | 03/21/2013                | Managing Director                 | NA               | Yes              | 11/18/2022              |
| Anne Elizabeth Robinson   | 09/22/2016                | General Counsel                   | NA               | Yes              |  |
| John Edward Schadl        | 03/18/2019                | Chief Compliance Officer          | NA               | Yes              | 11/30/2022              |
| Karin Ann Risi            | 05/28/2015                | Managing Director                 | NA               | Yes              |  |
| Thomas Mark Rampulla      | 05/28/2015                | Managing Director                 | NA               | Yes              |  |
| John Mark James           | 01/01/2017                | Managing Director                 | NA               | Yes              |  |
| Gregory NMN Davis         | 07/31/2017                | Managing Director                 | NA               | Yes              |  |
| Sarah Bloom Raskin        | 07/31/2017                | Director                          | NA               | Yes              |  |
| Deanna Marie Mulligan     | 07/31/2017                | Director                          | NA               | Yes              |  |
| Joseph Patrick Brennan    | 09/27/2018                | Chief Risk Officer                | NA               | Yes              |  |
| Lauren Marie Valente      | 07/25/2020                | Managing Director                 | NA               | Yes              |  |
| Matthew John Benchener    | 12/04/2020                | Managing Director                 | NA               | Yes              |  |
| David Anthony Thomas      | 07/22/2021                | Director                          | NA               | Yes              |  |
| Nitin NMN Tandon          | 09/01/2021                | Managing Director                 | NA               | Yes              |  |
| Tara Lynn Bunch           | 11/18/2021                | Director                          | NA               | Yes              |  |
| Emerson U. Fullwood       | 01/01/2008                | Director                          | NA               | Yes              |  |
| Jacqueline Mary Angell    | 11/30/2022                | Chief Compliance Officer          | NA               | Yes              |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** Vanguard Advisors, Inc

    - **Action Title:** Comm. of Pennsylvania, Dept. of Banking and Securities v. Vanguard Advisors, Inc

    - **Action Date:** 12/20/2017

    - **Court/Body Name and Location:** Commonwealth of Pennsylvania Department of Banking and Securities; Pennsylvania

    - **Action Description:** As a result of an administrative error, Vanguard Advisors, Inc. did not immediately update an investment advisor representative's registration to reflect Pennsylvania as the representative's new place of employment following the representative's move from Arizona to Pennsylvania. Vanguard Advisors, Inc. self-identified the issue.

    - **Disposition:** Entry of Consent Order and Agreement to pay an administrative assessment in the amount of $23,480.00.

  - **Details #2:**

    - **Entity Name:** Vanguard Marketing Corporation (VMC)

    - **Action Title:** ACCEPTANCE, WAIVER, AND CONSENT (AWC) NO. 2020066956001

    - **Action Date:** 11/04/2022

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA)

    - **Action Description:** FINRA alleges that Vanguard Marketing Corporation violated FINRA Rules 2360(b)(23)(A) and 2010 by accepting a client' options exercise instructions on May 22, 2020, after the 5:30 pm cutoff time, and FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the requirements for handling option exercise instructions after the exercise cut-off time.

    - **Disposition:** Without admitting or denying FINRA's allegations, Vanguard Marketing Corporation agreed to the imposition of a censure a fine in the amount of $50,000.00.

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Vanguard Marketing Corporation (VMC)

    - **Action Title:** ACCEPTANCE, WAIVER, AND CONSENT (AWC) No. C05040058

    - **Action Date:** 07/20/2004

    - **Court/Body Name and Location:** National Association of Securities Dealers (NASD)

    - **Action Description:** NASD alleges in two instances, prices paid to customers to liquidate municipal securities positions were below fair market value. By relying on broker's bids to determine FMV, VMC failed to ensure transactions were executed at fair and reasonable prices.

    - **Disposition:** NASD accepted VMC's Letter of Acceptance, Waiver and Consent. Firm agreed to imposition of censure and fine in the amount of $10,000, and restitution to two customers in the amount of $9443, plus interest.

  - **Details #2:**

    - **Entity Name:** Vanguard Marketing Corporation (VMC)

    - **Action Title:** ACCEPTANCE, WAIVER, AND CONSENT (AWC) No. 2013038325801

    - **Action Date:** 03/06/2015

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA)

    - **Action Description:** FINRA alleges that VMC violated article V, section 2(c) of the FINRA by-laws, FINRA rule 2010 and NASD rule 3010(a) by failing to file form U4 amendments for 60 reportable events, and by failing to timely file form U4 amendments for 20 report events.

    - **Disposition:** FINRA accepted VMC's AWC. VMC agreed to the imposition of a censure, a $350,000 fine, production of a VMC retained independent consultant's report, and certification of VMC's implementation of improvements outlined in the independent consultant's report.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** Yes

  - **Details #1:**

    - **Entity Name:** N/A

    - **Action Title:** Capital Market Investigation Department, Investigation Team 3-1076

    - **Action Date:** 09/24/2020

    - **Court/Body Name and Location:** South Korean Financial Services Commission, South Korea

    - **Action Description:** The South Korean Financial Supervisory Service claimed that on three occasions from 2018 to 2019 The Vanguard Group Inc. (VGI), engaged in the sale of two Korean listed securities without corresponding ownership of the positions, a practice which is prohibited under South Korean law.

    - **Disposition:** On September 24, 2020, the South Korean Financial Services Commission imposed an administrative fine in the amount $104,575 (KRW 120 Million) on VGI, related to the above.

  - **Details #2:**

    - **Entity Name:** Vanguard Investments Australia Ltd (VIA)

    - **Action Title:** ASIC Infringement Notices Section 12GX

    - **Action Date:** 11/11/2022

    - **Court/Body Name and Location:** Australian Securities and Investments Commission (ASIC) Act 2001

    - **Action Description:** VIA self-identified an error in the product disclosure statements (PDS) to the Australian Securities and Investments Commission for the Vanguard International Shares Select Exclusions Index Funds and issued a supplementary PDS for each of the affected funds, correcting the error, and communicating the update to investors.

    - **Disposition:** The notices resulted in a total fine of $27,116 USD ($39,960 AUD). The notices were paid in full on 12/1/2022.

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Jacqueline Mary Angell

**Title:** Chief Compliance Officer

**Date:** 01/03/2023

**Phone Number:** 610-503-3877