X0405 TA-1/A 0000735286 XXXXXXXX 084-00772 true LIVE SEC VANGUARD GROUP INC 385385 100 Vanguard Boulevard M39 Malvern PA 19355-2900 N 610-669-1000 Y 2525 Water Ridge Parkway 1 North Falls Plaza Charlotte NC 28217 14321 North Northsight Blvd. Scottsdale AZ 85260 N N Y Ascensus College Savings Recordkeeping Services, LLC. 084-06488 95 Wells Avenue Suite 160 Newton MA 02459 Corporation Amy NMN Gutmann 06/30/2006 Director NA true Andre Francois Perold 12/31/2004 Director NA true Francis Joseph Loughrey 10/01/2009 Director NA true Michael Thomas Rollings 06/06/2006 Managing Director NA true Mark NMN Loughridge 03/22/2012 Director NA true Scott Charles Malpass 03/22/2012 Director NA true Peter Frederick Volanakis 12/01/2008 Director NA true Mortimer Joseph Buckley 01/31/2003 Chief Executive Officer, Director NA true Chris Davis McIsaac 01/07/2012 Managing Director NA true John Thomas Marcante 03/21/2013 Managing Director NA true 11/19/2021 Anne Elizabeth Robinson 09/22/2016 General Counsel NA true John Edward Schadl 03/18/2019 Chief Compliance Officer NA true Karin Ann Risi 05/28/2015 Managing Director NA true Thomas Mark Rampulla 05/28/2015 Managing Director NA true John Mark James 01/01/2017 Managing Director NA true Gregory NMN Davis 07/31/2017 Managing Director NA true Sarah Bloom Raskin 07/31/2017 Director NA true Deanna Marie Mulligan 07/31/2017 Director NA true Joseph Patrick Brennan 09/27/2018 Chief Risk Officer NA true Lauren Marie Valente 07/25/2020 Managing Director NA true Matthew John Benchener 12/04/2020 Managing Director NA true David Anthony Thomas 07/22/2021 Director NA true Nitin NMN Tandon 09/01/2021 Managing Director NA true Tara Lynn Bunch 11/18/2021 Director NA true N N N N N N N N N N N Y Vanguard Advisors, Inc. Comm. of Pennsylvania, Dept. of Banking and Securities v. Vanguard Advisors, Inc 12/20/2017 Commonwealth of Pennsylvania Department of Banking and Securities; Pennsylvania 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. Entry of Consent Order and Agreement to pay an administrative assessment in the amount of $23,480.00 N N N N N Y Vanguard Marketing Corporation AWC No. C05040058 07/20/2004 NASD 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. 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. Vanguard Marketing Coorporation AWC No. 2013038325801 03/06/2015 FINRA 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 reportable events. 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. N N Y N/A Capital Market Investigation Department, Investigation Team 3-1076 09/24/2020 South Korean Financial Services Commission, South Korea 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. On September 24, 2020, the South Korean Financial Services Commission imposed an administrative fine in the amount of $104,575 (KRW 120 Million) on VGI, related to the above. N N N John Schadl 610-669-4011 Chief Compliance Officer 11/22/2021