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Ing Office 500 Plaza Drive, 6th Floor Secaucus, NJ 07094 Regular Mail: AXA Equitable Life Insurance Company Accumulator Processing Office P.O. Box 1547 Secaucus, NJ 07096-1547 AXA Distributors, LLC For Assistance Call (800) 789-7771 To be executed by Annuity Contract Owner and Registered Investment Advisor; Please note that a separate form must be submitted for each contract. owner and contract information Owner s Name Annuity Certificate/Contract Number Address (If Annuity Certificate/.

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Related content

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Jun 23, 2005 — How Long Does it Take To Process Form ADV? Within 45 ... Rule 204-1 and...
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An RIA who wishes to deregister with the SEC must provide all of the following information on Form ADV-W and its schedules: Name, CRD number, and other identifying information. Status of Advisory Business, including the date they ceased to do business and the reason for their withdrawal from business.

For example, the SEC staff has stated that advisers should not use the term “RIA” after a person's name because using initials after a name usually indicates a degree or a licensed professional position for which there are certain qualifications; however, there are no federal qualifications for becoming an SEC- ...

Advisers Act Rule 204-2 (“Books and Records Rule”) requires advisers to make and keep certain books and records relating to their investment advisory business, including typical accounting and other business records as required by the Commission.

Records Pertaining to Business and Financial Accounts General and auxiliary ledgers (or other comparable records) reflecting asset, liability, reserve, capital, income and expense accounts. All checkbooks, bank statements, canceled checks and cash reconciliations of the investment adviser.

RIAs must pass the Series 65 exam. RIAs must register with the SEC or state authorities, depending on the amount of money they manage. Applying to become an RIA includes filing a Form ADV, which includes a disclosure document that is also distributed to all clients.

All other records must be maintained by an investment adviser for five years (in the investment adviser's principal office for at least the first two years; they may be kept in an easily accessible place for the balance of the five years).

In general, these records related to an investment adviser's code of ethics must be maintained for the standard retention period of 5 years with the first 2 years in an appropriate office of the investment adviser and the remaining records in an easily accessible location.

➢ Retention Period: Three years (the first two years in an easily accessible place); Source: SEA Rule 17a-4(b). All notices relating to an internal broker-dealer system provided to the customers of the broker-dealer that sponsors such internal broker-dealer system, as defined in SEA Rule 17a-3(a)(16)(ii)(A).

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232