Firm Types Breakout
Jenna
Created on September 20, 2024
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Transcript
Mystery Breakout
Start
Intro
You have entered a dark and unknown world from which you have to get out before it's too late and you will be locked in forever.
Continue
Mission 1
Locked
Locked
Locked
Answer the question and you will find out the address of the following scenario
Mutual Fund Company
Brokerage Firm
Transfer Agent
This firm type holds assets in 3 different ways, ESPP, DRS/DRP and Physical Certificates.
Mission 2
Completed
Locked
Locked
Drag and discover
Transfer Agent
Mutual Fund Company
Bank/Credit Union/Trust Companies
This type of firm can have "Bank" or "Trust" written in the name at the top of the statement.
Mission 3
Completed
Completed
Locked
AUTH Restriction
Firm to Firm Transfer Restriction
What is the name of the restriction that is placed when a transfer out is initiated?
COPD Restriction
Transfer Agents and Brokerages
Mutual Fund Company and Transfer Agent
Brokerages and Bank/Credit Union/Trust
What two firm types will we see a variety of assets on their statements?
Transfer Agents and Mutual Fund Company
Brokerages and Mutual Fund Company
Transfer Agents and Brokerages
These two firm types do NOT allow liquidations in Banking and Asset Movement Center:
216
Continue
Remember the code
Completed
Mission 4
Completed
Completed
Moving things in-kind
Transferring Mutual Funds into an IRA
Cash is the end result
The main thing that triggers "Branch Processing" is?
14+3
Continue
Completed
Completada
Completada
Completed
Completed
Completada
Completed
Completada
Continue
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