NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (NYLIAC) AGENCY AND AGENT APPOINTMENT PROCEDURES AND APPOINTMENT INFORMATION FORM

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1 NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (NYLIAC) AGENCY AND AGENT APPOINTMENT PROCEDURES AND APPOINTMENT INFORMATION FORM New York Life Annuities New York Life Insurance & Annuity Corporation Attn: Producer Services ANN43028 & ANN43001 APPT INST

2 Agency Appointment Information The Agency must be appointed prior to or at the same time the Agent is being appointed. Agency and Agent Appointment(s) must be effective prior to solicitation. Instructions For Agency Appointments 1. Please complete (type or print clearly) the Agency Appointment Request For New York Annuities. 2. Attach a current copy of the Agency's resident state license and any non-resident state licenses where the agency will engage in sales solicitation and servicing. 3. Attach an approved Broker/Dealer Status Report for the FINRA registered entity, if applicable. 4. The state appointment forms will be completed by NYLIAC. Send all Agency documentation to: New York Life Insurance and Annuity Corporation Attn: Producer Services Room 651

3 Agent Appointment Information The Agency must be appointed prior to or at the same time the Agent is being appointed. Agency and Agent Appointment(s) must be effective prior to solicitation. Instructions For Agent Appointments 1. Please give the Agent the following document titled Disclosure Statement along with the Agent Appointment Request For New York Life Annuities. 2. Have the Agent complete (type or print clearly) the Agent Appointment Request For New York Life Annuities. Please make sure that the questions are answered in the Background Information Section and the Authorization Release section of the form is signed. 3. Attach an explanation signed by the Agent and official documentation for any YES answers in the Background Information Section of the Appointment request Form. 4. Attach a current copy of the Agent s resident state license and any non-resident state licenses where the Agent will engage in sales solicitation and servicing. 5. Attach approved U-4 (CRD Status Report) as proof of the agent s FINRA registration, if applicable. 6. Attach a completed Agent Background Investigations document (enclosed) for agents being appointed in the following states: -Alabama - Arkansas - Florida - Georgia -Kansas -Kentucky - Massachusetts -Minnesota - Mississippi -New Hampshire - New Mexico - North Carolina - Ohio - Oklahoma - Pennsylvania - South Carolina - West Virginia - Wyoming 7. The state appointment forms will be completed by NYLIAC. Some states, however, require the Agent s signature on the appointment form. In such instances, you will be provided with the appropriate form to complete. Send all Agent documentation to: New York Life Insurance and Annuity Corporation Attn: Producer Services - Room 651

4 Appointment Information Important Notes Some states do not license and/or appoint Agencies. In this case, an active member must be licensed and appointed on behalf of the Agency. To appoint active member(s), officer(s) and/or sub-licensee(s), follow the same instructions as for agent appointments. The documentation should be legible, completed in full and ready for processing. When an Agent or Agency master license is due to expire, or they have submitted renewal documentation to the state for their master license, it is the responsibility of the Agent and/or Agency to send renewed license copies to the Producer Services Unit at NYLIAC. If this is not done, the license information will automatically expire. If an Agent s or Agency s appointment is due for renewal, the Agency will be contacted. If the renewal requirements are not submitted within the time given, the appointment will be canceled and the Agent and/or Agency will have to reapply for appointment. IMPORTANT: Please do not allow Agents to write business until you have confirmation that they are properly licensed and/or appointed with NYLIAC. If you are unsure of their status, please call Carolyn Odom (212) Quick Check List NYLIAC Agency Appointment Request For New York Annuities Form ANN43028 NYLIAC Agent Appointment Request For New York Annuities Form ANN43001 Proof of FINRA Registration U-4 or CRD Report (If Applicable) Statement regarding Agent Background Investigations (If Required)

5 Form ANN43028 DISCLOSURE By means of this notice, New York Life, discloses to you that a consumer report or an investigative consumer report containing information as to your character, credit worthiness, ability, business activities, educational background, general reputation together with in the case of former employers, a history of your employment and the reason(s) for termination thereof, may be obtained as part of the process of our consideration of your application to become licensed or appointed to sell our insurance products. Should an investigative consumer report be requested, you will have the right to request complete and accurate disclosure as to the nature of the scope of the investigation requested and a written summary of your rights under the Fair Credit Reporting Act. Definitions: 1) A Consumer Report is any written, oral or other communication of any information by a consumer reporting agency. These are Records Only type reports and do not include personal interviews. 2) An Investigative Consumer Report contains information obtained through personal interviews with friends and associates of the consumer.