What tax forms should I expect to receive for the 2009 tax year?
Vanguard Brokerage Services® became a clearing broker-dealer on May 23, 2009. Vanguard Brokerage had previously cleared trades through Pershing LLC (“Pershing”). As a result of this conversion, you may potentially receive separate 2009 tax forms from both Pershing and Vanguard Brokerage. In general, Pershing will send forms for all reportable brokerage activity that occurred prior to May 23, 2009, while Vanguard Brokerage will send them for all subsequent reportable activity. If there was no reportable activity in a given period, no tax form will be generated for that period. To determine who sent your tax form, look at the “Payer” section on the front. It will indicate either Pershing LLC or Vanguard Brokerage Services as the “Payer” and provide the corresponding address and tax identification number. Note: The tax forms you receive from Pershing may reflect activity that took place after May 23, such as dividends or interest or corporate actions for trades that cleared prior to the c
