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NAIC Training Step by Step Guide & Important Information

Access Criteria: FPs will not have access to the NAIC site until the following two criteria are met: (1) National Producer Number (NPN) number in LARS (If unknown, see your BLC) and (2) Completion of at least one NAIC product-specific course on AAVU (Accumulator, Retirement Cornerstone, Structured Capital Strategies, etc.) Once both criteria have been met, you will have access to the NAIC site within 24-48 hours. Until then, you will receive an error message when clicking on the NAIC panel or the first module of the NUCO - Annuities and Suitability Explained Attestation of Completion Only course in AAVU. Step by Step Instructions - Accessing & Completing NAIC State-Specific Training: Once you have met the above-referenced criteria, the course linking you to the NAIC site can be found in your PEP curricula, if applicable, or in the AAVU Course Catalog as follows: 1. Click on the Couse Catalog Panel from the Home Page of AAVU.

2. Select the Product Courses Category and then expand the NAIC Courses Sub-Category.

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Step by Step Instructions - Accessing & Completing NAIC State-Specific Training (cont’d): 3. Scroll down the list of NAIC Courses until you locate the course titled NUCO – Annuities and Suitability Explained

Attestation of Completion Only. Open this course and launch the first module. Pay special attention to the course description and notes sections.

The first module of the AAVU course, NUCO – Annuities and Suitability Explained Attestation of Completion Only, is only a link to the NAIC site. Once you launch the first module of this course, provided you have met the access criteria, you will see the following Profile screen on the NAIC site:

4. First time users: Complete the sections highlighted in yellow in the screen shot above (State of Residence, AXA

Agent ID, etc.) If you are not appointed in an NAIC adopting state, select one in which you are appointed to sell annuities, or select the state of Iowa, and then select the Submit button.

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Step by Step Instructions - Accessing & Completing NAIC State-Specific Training (cont’d): For PEP Candidates ONLY: If you are not appointed in an NAIC adopting state, select the state of Iowa and complete this course. NOTES: Only states in bold and followed by an asterisk (*) are NAIC adopting states. No courses will be provided for states that are not NAIC adopting.

If you are appointed in the state of CA and have completed state-mandated Annuity Training via an outside vendor (initial 8 hours for CA), please submit proof of completion along with your hiring paperwork. This completion will satisfy the PEP requirement to complete a state-specific annuity & suitability training course. The CA course does not satisfy another other state’s requirement to complete a 4 hour Annuities and Suitability Explained course. All completions from outside vendors must be submitted to your Branch Licensing Coordinator, as they require LARS be manually updated. 5. Next, click on the My State Specific Training link on the left-hand side of the NAIC site. You will then see the

training for the state(s) you selected on your profile page. 6. Click on the Launch link for the state-specific course you wish to complete. You will then be redirected to the

National Underwriter Company (NUCO) site. The NUCO site is where you will actually complete your state-specific training.

NOTE: AXA has disabled the Import Certificate Function. There is no need to import certificates. Courses completed via the NAIC site will automatically feed to LARS. All completions from outside vendors must be submitted to your Branch Licensing Coordinator, as they require LARS be manually updated.

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Step by Step Instructions - Accessing & Completing NAIC State-Specific Training (cont’d): 7. After clicking your course Launch link, you will see the following screen on the NUCO site. The state chosen field

will already be populated. In most instances, you will answer “NO” to the question “Do you want to purhase for CE credit?” However, if you do elect to complete the course for CE credit, there will be a small state-filing fee the AXA Coupon Code does not cover.

8. After electing your CE option, select the Next button.

You will then see the following screen. Do not be concerned about an amount appearing at this point, as you have yet not applied the AXA Coupon Code.

9. Select the Checkout button.

10. If you have never registered with NUCO, you will be prompted to do so at this time. Complete all fields noted with an

asterisk (*) and then select the Register button at the bottom of the screen.

NOTE: The next screen on the NUCO site will be the Payment Information screen. This is where you need to apply the AXA Coupon Code.

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Step by Step Instructions - Accessing & Completing NAIC State-Specific Training (cont’d):

11. Enter NAICAX in the coupon code field, highlighted in yellow in the following screen shot. Then, select the Apply

button.

You will now see the coupon code has been applied and the purchase price is $0.00.

12. Select the Purchase button.

13. You will now see your Order Confirmation screen. You may click the My Purchases link in the body of the

confirmation or on the left-hand side of the NUCO site to access your course.

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Step by Step Instructions - Accessing & Completing NAIC State-Specific Training (cont’d): 14. From the My Purchases section of the NUCO site, click on the course title to launch and complete the state-specific

course and its corresponding exam.

After you complete the course and exam, you will see a check mark beside the course title and the status will appear Complete, with a date listed below, on the NUCO site.

15. After you see a status of Complete for your course on the NUCO site, you may then logout by clicking the Logout link

in the top right-hand corner.

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After closing out of the NUCO site, you will now see the NAIC site. Do not be concerned a completion is not appearing on the NAIC site right away. Completions on the NUCO site will take at least two (2) hours to appear on the NAIC site.

Step by Step Instructions – Accessing & Printing Completion Certificates from the NAIC Site:

Once your completion feeds from the NUCO site to the NAIC site, you will see a completion date for your state-specific course on your My State Specific Training page.

To print a copy of your state-specific Annuities and Suitability Explained completion certificate from the NAIC site: 1. Click on the My Transcript link, located on the left-hand side of the site. 2. Then, scroll down the page until you find the apllicable course and click the Print Certificate button.

REMINDER: AXA has disabled the Import Certificate Function. There is no need to import certificates. Courses completed via the NAIC site will automatically feed to LARS.

Please allow at least 48 business hours for completions to feed from the NAIC site to LARS.

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Final Step:

Now, it’s time to go back into AAVU and complete the second module in the course titled, NUCO – Annuities and Suitability Explained Attestation of Completion Only. The second module is a one question “exam” requesting you attest to the fact you actually completed a state-specific Annuities and Suitability Explained course.

NOTES:

If both course modules appear complete, the entire status of the AAVU course, NUCO – Annuities and Suitability Explained Attestation of Completion Only, will appear complete and you will be able to print a completion certificate. In this instance, having the AAVU completion certificate does NOT confirm course completion. Completions for 4 hour state-specific Annuities and Suitability Explained courses are automatically fed to LARS from the NAIC site, not AAVU.

If you do not actually complete an NAIC state-specific Annuties and Suitability Explained course via the NAIC site or via an outside vendor (All completions from outside vendors must be submitted to your Branch Licensing Coordinator, as they require LARS be manually updated) annuity business may be impacted.

Additional Information:

The AXA Coupon Code, NAICAX, does not cover the cost of an initial 8 hour initial Annuities course for the state of CA.

The cost of a 4 hour state specific Annuities and Suitability Explained course, with the coupon code, is free. Any

applicable state CE filing fees are not covered and will display in the total, if applicable. Complete course purchase/selection, including credit card information, if CE filing fees apply and click Purchase/Continue. Following confirmation, the course will launch.

If you encounter any issues on the NUCO site, please contact NUCO directly at 800-543-0874. The AAVU team does not have access to your NUCO profile and has no administrative privileges on their site.

NAIC questions should be directed to your local Branch Licensing Coordinator. These individuals are well-versed in state requirements and have access to view your licensing, registration, and training history.

Common Reasons Annuity Applications are Rejected:

You did not complete the applicable NAIC product-specific training course.

You did not complete the applicable NAIC state- specific training course.

You are not licensed and/or appointed in the state in which your client resides.

You submitted your application, prior to completing the required training.

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