Access forms, tools, and resources for individuals and organizations to file forms, improve efficiency, and remain compliant.
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.
Financial statement filing instructions for each state.
Learn more about how filing fees are calculated.
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
Securities Valuation Office
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
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
Mortality Experience Data Collection
Subsidiary Controlled Affiliation
Alien Insurer Identification Number Application
AN ALIEN INSURER IDENTIFICATION NUMBERS (AIIN) IS ONLY ASSIGNED TO A RISK-BEARING ENTITY FOR THE PURPOSE OF IDENTIFYING THOSE WHO CEDE OR ASSUME REINSURANCE WITH A DOMESTIC INSURANCE COMPANY. THE AIIN IS REQUIRED TO BE REPORTED ON THE DOMESTIC COMPANY'S SCHEDULE F OR SCHEDULE S OF THE ANNUAL/QUARTERLY FINANCIAL STATEMENT FILING
NAIC Account Manager
Order products and manage your invoices through our online account manager.
Individual/Company Licensing & Filing
Uniform Certificate of Authority Application
The Uniform Certificate of Authority Application (UCAA) process is designed to allow insurers to file copies of the same application for admission in numerous states. Each state that accepts the UCAA is designated as a uniform state.
National Insurance Producer Registry
State Licensing Handbook
Education for Industry Professionals
Courses to help industry professionals comply with regulatory processes.
Rate & Form Filing
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
For use by the insurance industry and state regulators to promote uniformity and speed to market in the filing process.
SERFF + Speed to Market
A web-based electronic filing system designed to improve the efficiency of the rate and form filing and approval process.
Click the above link to propose enhancements to NAIC's Speed to Market Filing initiatives.
Effective January 1, 2019
Effective January 1, 2019
Uniform Product Coding Matrices
Product Requirements Locator
Loss Cost Bulletins
Rate & Form Filing Review Requirements
Select a state or jurisdiction for a representative's contact information and filing checklist.
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.Learn More