Automatic Processing. As-of Orders that satisfy each of the following conditions will be accepted and processed by Vanguard as of the Indicated Trade Date on the As-of Order: (A) The As-of Order corresponds to Instructions that were received by the Company on the Indicated Trade Date in accordance with all applicable requirements under this Agreement; (B) The amount of the As-of Order does not exceed the lesser of (1) $25,000 and (2) the Large Transaction Amount for the relevant Vanguard Fund; (C) The Indicated Trade Date is not more than one Business Day prior to the Business Day on which the As-of Order is received by Vanguard; and (D) The Company transmits the As-of Order with one of the following NSCC As-Of Reason Codes (“As-of Reason Codes”): (01) Incorrect Firm/Fund Account Number; (02) Incorrect Share Quantity/Dollar Quantity; (03) Incorrect Security Issue ID; (05) Incorrect Sales Charge 0241320 0.8 DCC&S VA INSURANCE PRODUCT
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Automatic Processing. As-of Orders that satisfy each of the following conditions will be accepted and processed by Vanguard as of the Indicated Trade Date on the As-of Order:
(A) The As-of Order corresponds to Instructions that were was received by the Company Intermediary on the Indicated Trade Date in accordance with all applicable requirements under this Agreement;
(B) The amount of the As-of Order does not exceed the lesser of (1) $25,000 and (2) the Large Transaction Amount for the relevant Vanguard Fund;
(C) The Indicated Trade Date is not more than one two Business Day Days prior to the Business Day on which the As-of Order is received by Vanguard; and
(D) The Company Intermediary transmits the As-of Order with one of the following NSCC As-Of Extended Correction Reason Codes (“"As-of Reason Codes”"): (01) Incorrect Firm/Fund Account Number; (02) Incorrect Share Quantity/Dollar Quantity; (03) Incorrect Security Issue ID; (0507) Incorrect Sales Charge 0241320 0.8 DCC&S VA INSURANCE PRODUCTBlue Sky Violation; or (08) Price Revision.
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