Direct Trade Ticket

Attached below are the Spire forms required to open a new account to open a Variable Universal Life policy or invest in a Mutual Fund, Fixed Annuity & any other type of Directly Held product. In addition to any forms required from the sponsor company, the Spire New Account Form and Direct Trade Ticket need to be completed and/or signed by the client.

There are cases in which the Spire New Account Form is not required. Please continue reading to determine if your client's new investment requires a Spire NAF or not. If you already know the Spire NAF policies, you can scroll to the bottom for the attachments.

Do I need a Spire NAF per account?

• Spire requires 1 Spire NAF per registration. Here are some examples.

Example #1: If John Doe is opening 2 Traditional IRA's to invest in a Behringer Harvard MF and an Oppenheimer MF, the client only needs to complete and sign 1 Spire NAF.

Example #2: If John Doe is opening 1 Traditional IRA to invest in a Behringer Harvard MF and 1 Rollover IRA to invest in an Oppenheimer MF, then the client will need to complete and sign 2 Spire NAFs due to the different registrations.

I already have a few Spire NAF's for the client in the client's Laserfiche folder from previous direct business accounts. Do I still need a new Spire NAF for this account?

• If it's the same registration and dated within the past 12 months you do not need the client to sign a new Spire NAF.
• If it's past 12 months, the signature date is stale and the client will need to sign a new SPIRE NAF.