The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0000727136
NEW YORK LIFE INSURANCE AND ANNUITY CORP
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X Over Five Years Ago
   Within Last Five Years (Specify Year)
   Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
NEW YORK LIFE INSURANCE & ANNUITY CORP
Street Address 1 Street Address 2
51 MADISON AVENUE C/O NEW YORK LIFE INSURANCE COMPANY
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
NEW YORK NEW YORK 10010 212-576-7000

3. Related Persons

Last Name First Name Middle Name
Mathas Theodore A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Kravitz Jodi
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Cook Alexander I.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Brill Elizabeth K.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Gardner Robert M.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Harte Frank
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hendry Thomas A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Madgett Mark J.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Miller Amy
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Wion Matthew D.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Badler Sara L.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
McDonnell Michael
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Feldstein Eric
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Rubin Janis C.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Meade Colleen A.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
DeSanto Craig L.
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Gamble Michael A.
Street Address 1 Street Address 2
51 Madison Ave
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Malloy Anthony R.
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

4. Industry Group

   Agriculture
Banking & Financial Services
   Commercial Banking
X Insurance
   Investing
   Investment Banking
   Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   Other Banking & Financial Services
   Business Services
Energy
   Coal Mining
   Electric Utilities
   Energy Conservation
   Environmental Services
   Oil & Gas
   Other Energy
Health Care
   Biotechnology
   Health Insurance
   Hospitals & Physicians
   Pharmaceuticals
   Other Health Care
   Manufacturing
Real Estate
   Commercial
   Construction
   REITS & Finance
   Residential
   Other Real Estate
  
 Retailing
  
 Restaurants
Technology
   Computers
   Telecommunications
   Other Technology
Travel
   Airlines & Airports
   Lodging & Conventions
   Tourism & Travel Services
   Other Travel
  
 Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
   No Revenues    No Aggregate Net Asset Value
   $1 - $1,000,000    $1 - $5,000,000
   $1,000,001 - $5,000,000    $5,000,001 - $25,000,000
   $5,000,001 - $25,000,000    $25,000,001 - $50,000,000
   $25,000,001 - $100,000,000    $50,000,001 - $100,000,000
X Over $100,000,000    Over $100,000,000
   Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 506(b)
   Rule 506(c)
   Securities Act Section 4(a)(5)
X Investment Company Act Section 3(c)
X Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
X Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2006-01-15    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

9. Type(s) of Securities Offered (select all that apply)

   Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X Other (describe)
Variable Interests in CorpExec Private Placement Variable Universal Life Policies (CEPPVUL)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
   Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $250,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number    None
M Holdings Securities Inc. 43285
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
M Holdings Securities Inc. 43285
Street Address 1 Street Address 2
1125 N. W. Couch Street Suite 900
City State/Province/Country ZIP/Postal Code
Portland OREGON 97209
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Clark Securities Inc. 43803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Clark Securities Inc. 43803
Street Address 1 Street Address 2
2100 Ross Avenue Suite 2200
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75201
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
720 East Wisconsin Avenue
City State/Province/Country ZIP/Postal Code
Milwaukee WISCONSIN 53202-4797
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
TBG Financial & Insurance Services 26984
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
TBG Financial & Insurance Services 26984
Street Address 1 Street Address 2
100 North Sepulveda Blvd. Suite 500
City State/Province/Country ZIP/Postal Code
El Segunda CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Executive Services Securities 25299
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Executive Services Securities 25299
Street Address 1 Street Address 2
3445 Peachtree Road N.E. Suite 200
City State/Province/Country ZIP/Postal Code
Atlanta GEORGIA 30326
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
HAWAII
TEXAS
MASSACHUSETTS
MARYLAND
IOWA
MAINE
IDAHO
MICHIGAN
UTAH
MINNESOTA
MISSOURI
ILLINOIS
INDIANA
MISSISSIPPI
MONTANA
ALABAMA
VIRGINIA
ARKANSAS
NORTH CAROLINA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
NEW JERSEY
VERMONT
NEW MEXICO
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
OHIO
GEORGIA
OKLAHOMA
CALIFORNIA
WEST VIRGINIA
WYOMING
OREGON
KANSAS
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
TENNESSEE
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Tower Square Securities Inc. 833
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Tower Square Securities Inc. 833
Street Address 1 Street Address 2
1095 Avenue of the Americas
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10036
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
FAS Corp. 43536
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
FAS Corp. 43536
Street Address 1 Street Address 2
4747 West 135th Street Suite 100
City State/Province/Country ZIP/Postal Code
Leawood KANSAS 66224
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
HAWAII
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
MAINE
OHIO
GEORGIA
IDAHO
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MISSISSIPPI
KANSAS
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
CONNECTICUT
PENNSYLVANIA
LOUISIANA
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW HAMPSHIRE
TENNESSEE
NEW JERSEY
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
ValMark Securities, Inc. 31243
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
ValMark Securities, Inc. 31243
Street Address 1 Street Address 2
130 Springside Drive Suite 300
City State/Province/Country ZIP/Postal Code
Akron OHIO 44333
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Newport Group Securities, Inc. 29722
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Newport Group Securities, Inc. 29722
Street Address 1 Street Address 2
300 Primera Boulevard Suite 200
City State/Province/Country ZIP/Postal Code
Lake Mary FLORIDA 32746
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
NYLIFE Securities LLC 5167
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
51 Madison Avenue Room 713
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Douglas Forstrom 1155360
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities LLC 5167
Street Address 1 Street Address 2
208 West 2nd Street
City State/Province/Country ZIP/Postal Code
Fairmont MINNESOTA 56031
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
MINNESOTA
SOUTH DAKOTA
WISCONSIN
ILLINOIS
TEXAS
MISSISSIPPI
IOWA
Recipient
Recipient CRD Number    None
MAG Financial Inc. 36327
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MAG Financial Inc. 36327
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
PENNSYLVANIA
LOUISIANA
FLORIDA
MARYLAND
ALASKA
VIRGINIA
COLORADO
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Manor House Capital, LLC 140863
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Manor House Capital, LLC 140863
Street Address 1 Street Address 2
2005 Market Street 7th Floor
City State/Province/Country ZIP/Postal Code
Philadelphia PENNSYLVANIA 19103
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
ILLINOIS
TEXAS
FLORIDA
NEVADA
ALASKA
NEW YORK
COLORADO
CONNECTICUT
PENNSYLVANIA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
NEW JERSEY
CALIFORNIA
DISTRICT OF COLUMBIA
UTAH
Recipient
Recipient CRD Number    None
Lincoln Financial Advisors Corp. 3978
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Lincoln Financial Advisors Corp. 3978
Street Address 1 Street Address 2
1301 South Harrison Street
City State/Province/Country ZIP/Postal Code
Fort Wayne INDIANA 46802
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MML Investors Services, Inc. 10409
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MML Investors Services, Inc. 10409
Street Address 1 Street Address 2
1295 State Street
City State/Province/Country ZIP/Postal Code
Springfield MASSACHUSETTS 01111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Deutsche Bank Securities Inc. 2525
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Deutsche Bank Securities Inc. 2525
Street Address 1 Street Address 2
60 Wall Street
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10005
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Ross Securities Corporation 113796
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Ross Securities Corporation 113796
Street Address 1 Street Address 2
1270 Avenue of the Americas 20th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10020
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
CONNECTICUT
PENNSYLVANIA
SOUTH DAKOTA
FLORIDA
ALASKA
NEW YORK
NEW JERSEY
Recipient
Recipient CRD Number    None
Park Avenue Securities LLC 46173
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Park Avenue Securities LLC 46173
Street Address 1 Street Address 2
7 Hanover Square
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10004
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Wealth Preservation Associates LLC 35277
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Wealth Preservation Associates LLC 35277
Street Address 1 Street Address 2
521 Fifth Avenue 17th Floor
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10175
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
First Liberties Financial 14432
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
First Liberties Financial 14432
Street Address 1 Street Address 2
15150 Preston Road Suite 300
City State/Province/Country ZIP/Postal Code
Dallas TEXAS 75248
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US
DELAWARE
TEXAS
FLORIDA
NEVADA
WASHINGTON
NEW YORK
SOUTH CAROLINA
SOUTH DAKOTA
WISCONSIN
MASSACHUSETTS
MARYLAND
IOWA
OHIO
GEORGIA
MICHIGAN
OKLAHOMA
CALIFORNIA
UTAH
WEST VIRGINIA
MINNESOTA
MISSOURI
ILLINOIS
OREGON
INDIANA
MONTANA
ALASKA
ALABAMA
VIRGINIA
COLORADO
KENTUCKY
ARKANSAS
CONNECTICUT
PENNSYLVANIA
NORTH CAROLINA
NORTH DAKOTA
NEBRASKA
RHODE ISLAND
ARIZONA
NEW JERSEY
DISTRICT OF COLUMBIA
Recipient
Recipient CRD Number    None
Oglivie Security Advisors Corporation 10105
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Oglivie Security Advisors Corporation 10105
Street Address 1 Street Address 2
71 S Wacker Suite 3025
City State/Province/Country ZIP/Postal Code
Chicago ILLINOIS 60606
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
World Equity Group, Inc. 29087
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
World Equity Group, Inc. 29087
Street Address 1 Street Address 2
425 N Martingale Road Suite 1220
City State/Province/Country ZIP/Postal Code
Schaumburg ILLINOIS 60173
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number X None
NYLINK Insurance Agency Incorporated None
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NYLIFE Securities, LLC 5167
Street Address 1 Street Address 2
51 Madison Avenue
City State/Province/Country ZIP/Postal Code
New York NEW YORK 10010
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
James M. Foyt 3152720
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
2031 11th Avenue South
City State/Province/Country ZIP/Postal Code
Birmingham ALABAMA 35205
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Russell H. Vandevelde 2030209
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
2031 11th Avenue South
City State/Province/Country ZIP/Postal Code
Birmingham ALABAMA 35205
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Phillip Pickett 4739154
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Northwestern Mutual Investment Services, LLC 2881
Street Address 1 Street Address 2
2031 11th Avenue South
City State/Province/Country ZIP/Postal Code
Birmingham ALABAMA 35205
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Domenic Matthew Dipiero 4772723
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
NCG Securities, LLC 160481
Street Address 1 Street Address 2
12 Broad Street 5th floor
City State/Province/Country ZIP/Postal Code
Red Bank NEW JERSEY 07701
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Kestra Investment Services LLC 42046
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Kestra Investment Services LLC 42046
Street Address 1 Street Address 2
5707 Southwest Parkway Bldg 2, Suite 400
City State/Province/Country ZIP/Postal Code
Austin TEXAS 78735
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MSI Financial Services Inc 14251
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MSI Financial Services Inc 14251
Street Address 1 Street Address 2
11225 North Community House Road Gragg Building - 8th Floor
City State/Province/Country ZIP/Postal Code
Charlotte NORTH CAROLINA 28277-4435
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
UBS Financial Services Inc 8174
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
UBS Financial Services Inc 8174
Street Address 1 Street Address 2
1200 Harbor Boulevard
City State/Province/Country ZIP/Postal Code
Weehawken NEW JERSEY 07086
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
OneAmerica Securities, Inc. 4173
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
OneAmerica Securities, Inc. 4173
Street Address 1 Street Address 2
One American Square
City State/Province/Country ZIP/Postal Code
Indianapolis INDIANA 46282
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Morgan Stanley Ins Services 149777
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Morgan Stanley Ins Services 149777
Street Address 1 Street Address 2
Harborside Plaza II 7th Floor
City State/Province/Country ZIP/Postal Code
Jersey City NEW JERSEY 07311
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
MML Insurance Agency, Inc. 168638
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
MML Insurance Agency, Inc. 168638
Street Address 1 Street Address 2
1295 STATE STREET
City State/Province/Country ZIP/Postal Code
SPRINGFIELD MASSACHUSETTS 01111
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Triad Insurance, Inc. 25803
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Triad Advisors LLC 25803
Street Address 1 Street Address 2
5155 Peachtree Parkway
City State/Province/Country ZIP/Postal Code
Peachtree Corners GEORGIA (COUNTRY) 30092
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
Cetera Advisor Networks, LLC 13572
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
Cetera Advisor Networks, LLC 13572
Street Address 1 Street Address 2
2301 Rosecrans Avenue Suite 5100
City State/Province/Country ZIP/Postal Code
El Segundo CALIFORNIA 90245
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US
Recipient
Recipient CRD Number    None
USI Securities, Inc. 43793
(Associated) Broker or Dealer    None
(Associated) Broker or Dealer CRD Number    None
USI Securities, Inc. 43793
Street Address 1 Street Address 2
95 Glastonbury Blvd Suite 102
City State/Province/Country ZIP/Postal Code
Glastonbury CONNECTICUT 06033
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		 X All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $1,813,207,388 USD
Total Remaining to be Sold USD
or X Indefinite

Clarification of Response (if Necessary):

14. Investors

  
 Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
99

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $50,759,960 USD
   Estimate
Finders' Fees $0 USD
   Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
   Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of:  (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
NEW YORK LIFE INSURANCE & ANNUITY CORP /s/ Janis Rubin Janis Rubin Vice President 2023-03-13

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.