Knowledge Check - Mutual Fund TIK's

What methods are used to process non-529 MF TIK transfers (Select all that apply)

• Manual transfer/reregistration

• B52

• ACATS

• PTF

What network level will the funds be networked at when processing a MF Transfer In Kind?

• 0

• 3

• 4

What is the follow up timeframe for manual MF Transfers?

• 5 Bus. Days

• 7 Bus. Days

• 10 Bus. Days

How long do PTF transfers take to settle?

• 1-2 bus days

• 3-4 bus days

• 5-7 bus days

• 7-10 bus days

What fund lookup site would be used to verify the Transfer for American Funds?

• Fund Co own website

• Advisor Access

• Advisor Central

• DST Vision

What fund lookup site would be used to verify the Transfer for Vanguard?

• Fund Co own website

• Advisor Access

• Advisor Central

• DST Vision

What fund lookup site would be used to verify the Transfer for Janus?

• Fund Co own website

• Advisor Access

• Advisor Central

• DST Vision

What fund lookup site would be used to verify the Transfer for Dodge & Cox?

• Fund Co own website

• Advisor Access

• Advisor Central

• DST Vision

What Location Code is used for Network Level 3?

• None

• 86X

• 78Y

• 86N

When reviewing a 1059 for a MF Transfer, you notice that the Asset Description fields are incomplete. All other fields are completed and there is no statement on file. Can you proceed and why or why not?