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Industry

Access forms, tools, and resources for individuals and organizations to file forms, improve efficiency, and remain compliant.

Regulatory Reporting

Financial Statement Filing

Provides essential data for the Insurance Regulatory Information System (IRIS) Financial Ratio Reports, risk-based capital analysis, and other solvency-related reviews of individual companies, including reporting compliance and financial analysis.

State Instructions

Financial statement filing instructions for each state.

Participation Fees

Learn more about how filing fees are calculated.

Online User's Guide

Get information on how to file online. Online filing handles all statement types (property, life, health, fraternal, and title) and submission types (annual March, April, RBC, Combined, and June as well as quarters 1, 2, and 3).

Company Code Application

This is for U.S. domestic risk-bearing entities that need to be assigned an NAIC Company Code.

Alien Insurer Identification Number Application

This is for entities who cede or assume reinsurance with a U. S. domestic insurance company and need to be assigned an Alien Identification or Pool/Association Number.

Securities Valuation Office (SVO)

Supports the Valuation of Securities (E) Task Force conducting credit quality risk assessments of insurer-owned corporate, municipal, government, private placement, structured, foreign, and fund security types along with other investment types and reviews.

Structured Securities Group (SSG)

Assesses the risks associated with securitizations and other complex financially engineered securities; specifically, residential mortgage-backed securities (RMBS), commercial mortgage-backed securities (CMBS), and mortgage reference securities.

Market Conduct Annual Statement (MCAS)

Provides market regulators with market conduct information not otherwise available for their market analysis initiatives.

Military Sales Online Reporting System (MSORS)

The Military Personnel Financial Services Protection Act, Pub. L. No. 109-290 (2006) mandates that states collectively implement a system to receive reports from insurers, federal government entities and state government entities regarding disciplinary actions taken against persons that sell or solicit the sale of any life insurance product on any military installation of the United States.

To satisfy this mandate, the NAIC established a uniform Military Sales Online Reporting Form and a centralized point to report disciplinary actions to all state insurance departments. This form may also be used by federal government entities and state entities, other than insurance departments, to report disciplinary actions.

Military Sales Online Reporting System (MSORS)

Instructions on the submission of this form are on page one of the document.

Contacts:

Petra Wallace, Senior Market Regulation Specialist, Phone: 816-783-8272

Lois E. Alexander, Market Regulation Manager II, Phone: 816-783-8517

Subsidiary Controlled Affiliation (SCA)

The SCA Filing Process memorandum intends to communicate the updated filing instructions and SCA filing exclusions with all states.

Public Lead State Report

The collective state insurance departments (through the NAIC) have been further developing their lead state concept and have incorporated aspects of this concept into state insurance law

Education for Industry Professionals

Courses to help industry professionals comply with regulatory processes.

Data Calls

The intent of data calls is to provide state regulators with more information about insurance markets.

NAIC Account Manager

Order products and manage your invoices through our online account manager.

Licensing

We provide an electronic means of applying for state licensure to become either an insurance carrier (UCAA) or an insurance producer/broker (NIPR) in any of the U.S. states and territories that regulate these businesses. Review the descriptions below to determine which application is the appropriate method.

Uniform Certificate of Authority Application

The Uniform Certificate of Authority Application (UCAA) is a uniform process used for risk-bearing entities to obtain a license as an insurance carrier or amend a current license/certificate of authority. A risk-bearing entity refers to an insurer that writes policies and pays claims on the policies written.

National Insurance Producer Registry

NIPR provides the insurance industry with a data warehouse of producer licensing information from all fifty states, the District of Columbia, and four U.S. territories. NIPR's products and services eliminate paperwork and data entry, allowing for increased productivity, and faster turnaround time for the producer licensing process.

State Licensing Handbook

This handbook is based on the Producer Licensing Model Act (MDL-218), the Uniform Resident Licensing Standards and other guidelines.

Long-Term Care Insurance Multistate Rate Review

Resources for insurance companies and state insurance departments regarding the LTCI Multistate Rate Review process.

Rate & Form Filing

Uniform Review Standards Checklists

For use by the insurance industry and state regulators to promote uniformity and speed to market in the filing process.

Product Requirements Locator (PRL)

Generates a report showing regulatory requirements for specific product filings. Effective 1/1/20.

Contacts

Do you need help or more information? Please use this link to contact us.

Rate & Form Filing Review Requirements

Select a state or jurisdiction for a representative's contact information and filing checklist.

Select State

International Insurers

For more information and useful documents like Quarterly Listing of Alien Insurers, Company Applications or Annual Filings, and Lloyd's Applications or Annual Filings, please visit our Surplus Lines Working Group.

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Branded Consumer Guides

Order custom imprinted consumer guides for a variety of consumer products.