Annotated Forms
True or False: The AL Receipt of Purchase Payment is a required form
False
Is OH a 3, 5, or 7 day replacement state?
5
Is Fifth Third Bank exempt from Suitability?
Yes
On the Idaho Producer Signature Page, how many days from the received date must this form be dated?
90
When is a form considered a Point of Sale document?
if it needs to be reviewed prior to the sale of an annuity product.
What document type indicates your case is a bank case?
cNBAnnuity - Electronic Application
If "Yes" is marked on the FL replacement form, who do we email for an illustration?
Sales (Singlepremiumbusinessdevelopment@mmascend.com)
Which documents are considered Point of Sale documents?
Client Financial Disclosure, Replacement Form, all state-required forms except for Medi-Cal form
When pending for signature documents, how many days do we wait for paperwork to arrive before emailing the agent/back office?
5 (2 for RJ and Cetera)
When is the agent's printed name required on the Replacement Form?
ONLY if case is a replacement
What is the 4 digit trans code for a transfer?
0122
If a case is e-signed using Adobe, what other requirement do we need before marking the case IGO?
COC document
Are rates ever allowed to be listed on the app? If so, under what condition(s)?
Yes, if they are the same or lower than the current rate
A customer wants to move funds from his Roth IRA to a new Traditional IRA at MM Ascend. Is this acceptable?
No
Regions Bank agent Cathy Leonard forgot to sign the application. Who would we contact to notify of the correction?
abby@bankannuity.net