Yes! You can use AI to fill out Institutional Investors Organization Resolution Form
The Institutional Investors Organization Resolution Form (IIORF) is a document used by Vanguard to identify the individuals an organization authorizes to act on its behalf for mutual fund and brokerage accounts. By completing this form, an organization establishes a standing resolution, which simplifies future transactions by not requiring a new certified resolution for each request. Today, this form can be filled out quickly and accurately using AI-powered services like Instafill.ai, which can also convert non-fillable PDF versions into interactive fillable forms.
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Form specifications
| Form name: | Institutional Investors Organization Resolution Form |
| Number of pages: | 1 |
| Language: | English |
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How to Fill Out IIORF Online for Free in 2026
Are you looking to fill out a IIORF form online quickly and accurately? Instafill.ai offers the #1 AI-powered PDF filling software of 2026, allowing you to complete your IIORF form in just 37 seconds or less.
Follow these steps to fill out your IIORF form online using Instafill.ai:
- 1 Navigate to Instafill.ai and upload the Vanguard Form IIORF PDF or select it from the available templates.
- 2 Use the AI to automatically populate Section 1 with your organization's information, such as its legal name, address, and Taxpayer ID number.
- 3 In Section 2, provide the personal details for each authorized signatory, including their name, address, date of birth, and SSN.
- 4 Complete the Certification and Indemnification section, which requires signatures from two authorized officers or signatories.
- 5 If the organization has only one authorized signatory, complete the Third-Party Certification section with the required information from a bank officer, attorney, or other qualified individual.
- 6 If applicable, fill out Exhibit A to list any additional authorized persons who can conduct transactions on the accounts.
- 7 Review all the information populated by the AI for accuracy, make any necessary corrections, and then download or submit the completed form as instructed by Vanguard.
Our AI-powered system ensures each field is filled out correctly, reducing errors and saving you time.
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Frequently Asked Questions About Form IIORF
This form is used to identify the individuals (authorized signatories and additional authorized persons) who are permitted to act on behalf of an organization for its Vanguard mutual fund and/or brokerage accounts. It establishes their authority so that a separate certified resolution is not needed for each transaction.
This form is for institutional investors, such as corporations, partnerships, limited liability companies, endowments, and other business entities that hold Vanguard accounts.
Authorized Signatories are empowered to sign official documents and conduct transactions on the account. Additional Authorized Persons can only conduct transactions (like buying or selling securities) but are not authorized to sign documents on behalf of the organization.
The form requires the signatures of two authorized officers in Section 3. One of these individuals must be the secretary or another person who can certify the resolution.
If your organization has only one authorized signatory, that person must sign Section 3, and you must have a third party, such as a bank officer, practicing attorney, or member of a domestic stock exchange, complete the 'Third-Party Certification' in Section 4.
Yes, for Vanguard Brokerage Accounts, you must include a document like a corporate secretary’s certificate or operating agreement that confirms the individuals listed are authorized to act. Additionally, if an authorized person is affiliated with a FINRA member firm, a letter of account approval from their compliance officer is required.
To change the 'Additional Authorized Persons,' you must submit a new Exhibit A form. To change the 'Authorized Signatories,' you must submit an entirely new Institutional Investors Organization Resolution Form.
Yes, the instructions state that you must return ALL pages of the form, even if some sections or pages have been left blank.
You can submit the signed form by fax, by mail via USPS to the P.O. box, or by courier (like FedEx or UPS) to the street address provided. Existing Vanguard web users may also have the option to upload the form directly.
For each person, you must provide their full name, title, primary residence address, date of birth, and Social Security Number (or ITIN for nonresident aliens). They must also sign and date their respective section.
If the PDF is not interactive, you can use a service like Instafill.ai to convert it into a fillable form. Simply upload the document to the platform to make it easy to complete and sign electronically.
Yes, you can use AI-powered services like Instafill.ai to help fill out this form. These tools can auto-fill fields accurately from your saved information, saving you time and helping to prevent errors.
To fill this form out online, you can upload it to a platform like Instafill.ai. The service will make the form interactive, allowing you to type in your information, check boxes, and sign electronically before downloading the completed document.
Compliance IIORF
Validation Checks by Instafill.ai
1
Ensures Organization's Full Legal Name is Provided
This check verifies that the 'Name of organization' field in Section 1 is not empty, as it is marked as required. Providing the full legal name is crucial for correct account setup, legal compliance, and tax reporting. Failure to provide this required information will prevent the form from being processed and the account from being properly configured.
2
Validates Employer/Taxpayer ID Number Format
This validation ensures the 'Employer/Taxpayer ID number' in Section 1 is entered in a valid format, such as the 9-digit structure (XX-XXXXXXX) for a US EIN. A correct Tax ID is essential for regulatory compliance, tax reporting to the IRS, and uniquely identifying the business entity. An invalid or missing ID will lead to processing rejection and potential tax-related issues.
3
Verifies Transaction Signatory Count is Greater Than Zero
This check confirms that the number entered for 'Total number of authorized signatories... required to sign written transaction instructions' in Section 2 is greater than zero. This is a critical control to ensure that transactions cannot be authorized without the required number of approvals. A value of zero would create a logical impossibility for transaction processing and must be corrected.
4
Confirms Completeness of Authorized Signatory Information
This validation verifies that for every authorized signatory listed in Section 2, all required personal details are provided, including full name, primary residence address, date of birth, and SSN or ITIN. This information is mandated by Know Your Customer (KYC) regulations to prevent fraud and money laundering. Incomplete signatory profiles will halt the form processing until all required data is supplied.
5
Validates Authorized Person's Date of Birth
This check ensures the 'Date of birth' for each authorized person is in the correct 'mm/dd/yyyy' format and represents a plausible date (e.g., not in the future, and the person is over 18 years old). This is vital for identity verification and compliance with legal age requirements for financial account authority. An invalid or future date will cause the submission to be rejected for correction.
6
Validates SSN or ITIN Format for Authorized Persons
This validation checks that the Social Security Number (SSN) or Individual Taxpayer Identification Number (ITIN) for each person in Section 2 and Exhibit A is provided in a valid 9-digit format. This number is a critical personal identifier required for regulatory reporting and identity verification under federal law. An incorrectly formatted or missing number will result in processing failure.
7
Ensures Control Person Details are Provided When Affiliation is Declared
This check verifies that if an authorized person checks the box indicating they are a 'control person or an affiliate of a public company,' they must also provide the corresponding 'Name of company' and 'Trading symbol'. This information is required by SEC Rule 144 to monitor and regulate trading by corporate insiders. Failure to provide these details when the box is checked will result in the form being flagged as incomplete.
8
Verifies Required Signatures in Certification Section
This validation confirms that the 'Certification and Indemnification' section (Section 3) is signed by the required number of authorized signatories/corporate officers, which is typically two. These signatures legally bind the organization to the terms stated in the form. Missing signatures will render the entire resolution invalid and the form will be rejected.
9
Ensures Signature Dates are Present and Valid
This check validates that every signature field throughout the form is accompanied by a corresponding date in 'mm/dd/yyyy' format, and that the date is not in the future. This is crucial for establishing a clear timeline of when the authorization was granted. A missing or future date can create legal ambiguity and will cause the form to be returned for correction.
10
Validates Conditional Requirement for Third-Party Certification
This check enforces the rule that Section 4, 'Third-party certification,' must be completed if and only if the organization has designated only one authorized signatory in total. This external certification is a control measure to validate the authority of a single signatory. The form will be rejected if this section is completed unnecessarily or is missing when required.
11
Ensures Consistency of Organization Information Across Form and Exhibit A
This validation compares the 'Name of organization' and 'Employer/Taxpayer ID number' between Section 1 of the main form and Section 1 of Exhibit A. This ensures that the additional authorized persons are being added to the correct entity. Mismatched information could lead to incorrect account permissions and will require correction before processing.
12
Cross-references Total Authorized Persons with Listed Individuals
This check verifies that the number entered for 'Total number of authorized signatories... and additional authorized persons' at the top of Section 2 matches the actual count of unique individuals listed in Section 2 and Exhibit A combined. This ensures the stated intent matches the provided details, preventing ambiguity in who is authorized to act on the account. A mismatch will flag the form for manual review and correction.
13
Ensures Two Distinct Officers Sign the Certification Section
This validation confirms that the two individuals who sign the Certification and Indemnification in Section 3 are different people. The requirement for two officers is a corporate governance control to prevent unilateral action and ensure proper authorization. If the same person signs both lines, the form will be considered invalid and rejected.
14
Verifies Signatories in Certification are Listed in Section 2
This check ensures that the names of the individuals who sign the Certification in Section 3 are also listed as 'Authorized Signatories' in Section 2. This confirms that the people certifying the document have the authority to do so on behalf of the organization. A mismatch would indicate an unauthorized certification, invalidating the form.
Common Mistakes in Completing IIORF
The form explicitly states on every page to 'Return ALL pages of this form, even if some sections are left blank.' Applicants often only return the pages they filled out, assuming the blank ones are unnecessary. This leads to an immediate rejection and processing delay, as the receiving party cannot verify the entire agreement was reviewed. To avoid this, ensure all 13 pages are included in the final submission packet, whether sent by mail, fax, or digital upload.
In Section 1, applicants are required to provide the organization's 'full legal name.' A common error is to use a shortened version, a 'doing business as' (DBA) name, or an acronym. This can cause a mismatch with tax records (like the Employer ID Number) and other legal documents, leading to validation failures and rejection of the form. Always cross-reference the name with official incorporation or tax documents to ensure accuracy.
The form has complex signature rules that are frequently missed. Applicants may fail to provide the required two officer signatures in Section 3, or if the organization has only one officer, they may forget to have the separate Third-Party Certification (Section 4) completed by a qualified professional. An incorrectly signed form is legally invalid and will require the entire process to be restarted.
The form requires additional documents under specific conditions, such as organizational papers for brokerage accounts or compliance officer approval letters for individuals affiliated with FINRA. These are often forgotten, especially when the main form is completed correctly. This oversight is a major cause of processing delays, as the application is considered incomplete until all required attachments are received.
The form distinguishes between 'Authorized Signatories' (Section 2), who can sign legal documents, and 'Additional Authorized Persons' (Exhibit A), who can only conduct transactions. People often misunderstand this distinction and list individuals in the wrong section. This can result in individuals having incorrect permissions, either lacking the ability to sign documents or being unable to execute trades.
In the sections for signatories and authorized persons, the form requires a 'Primary residence address,' not a business address, as well as a full date of birth and SSN/ITIN. Applicants frequently enter a work address out of habit or provide incomplete personal data. This information is critical for identity verification under federal regulations, and any inaccuracies will halt the account setup process.
The checkboxes regarding affiliations with FINRA, stock exchanges, or as a control person under SEC Rule 144 are dense with legal terminology and easily skipped. Failing to check a required box, or checking one and then failing to provide the required follow-up information like company names, can lead to serious compliance violations and delays. It is crucial to carefully read and understand these disclosures before signing.
Section 2 contains two boxes where the applicant must specify the number of signatories required to authorize documents and transactions. These are often left blank due to confusion about the wording. Leaving these fields empty creates ambiguity in account operating instructions and will cause the form to be returned for clarification, delaying the ability to transact on the account.
When submitting or updating Exhibit A for 'Additional Authorized Persons,' the certification on page 12 must be signed by the organization's 'Authorized Signatories' from the main form. A common error is to have the newly listed 'Additional Authorized Persons' sign this section themselves. This invalidates the exhibit, as the new individuals do not have the authority to authorize themselves.
The instructions to 'Print in capital letters and use black ink' are designed to ensure the form can be scanned and read accurately. Applicants may use blue ink, write in cursive, or have illegible handwriting, leading to data entry errors or rejection. Since this is a non-fillable PDF, using a tool like Instafill.ai can convert it to a fillable version, eliminating handwriting issues and ensuring legibility.
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