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. While each uniform state still performs its own independent review of each application, the need to file different applications, in different formats, has been eliminated for all states that accept the uniform application. The UCAA includes three applications.
The Primary Application is for use by newly formed companies seeking a Certificate of Authority in their domicile state and by companies wishing to re-domesticate to a uniform state. The Expansion Application is for use by companies in good standing in their state of domicile that wish to expand their business into a uniform state. The Corporate Amendments Application is for use by an existing insurer for requesting amendments to its certificate of authority.
A Uniform State is one that has committed to streamlining the application approval process by accepting the UCAA for company admissions. All states are accepting the UCAA and are considered Uniform States.
In the following web pages, you will find a detailed explanation of the various admission requirements for the Primary, Expansion and Corporate Amendments Applications. You will also find instructions designed to assist you with preparing and submitting the necessary documentation. Each state's review process may follow slightly different time lines to complete a comprehensive and detailed operational and financial review of the applicant's business. All Uniform States share a standard goal of processing Primary Applications within 90 days of receipt and Expansion and Corporate Amendments Applications within 60 days of receipt. Please be aware that due to the varying resources in each state, the actual length of review may vary by state
Addresses and Contact Information for Submission of Application
Certificate of Compliance and Certificate of Deposit Requirements
Change in Control of Foreign (Non-Domestic) Insurers
Domestic Surplus Lines Insurers
Filing Fees — Corporate Amendments
Filing Fees Matrix — Corporate Amendments
Filing Fees — Primary or Expansion Application
Fingerprints and Biographical Affidavit Requirements
Foreign Insurance Company Withdrawal
Redomestication - Additional State Information
Signature Requirements - Biographical Affidavits and Uniform Consent to Service of Process
Some jurisdictions may require additional authorizations other than a Certificate of Authority. The information provided in this section is intended to assist applicants in obtaining all necessary approvals. Click the links below to access specific information for that state.
State Specific Information
Select a state or jurisdiction to access state specific information
State Retaliatory Information
Select a state or jurisdiction to access state retaliatory information
If you are contemplating submitting a Primary application for a start-up company, please contact Jane Barr jbarr@naic.org (816)-783-8413 for more information on the new electronic primary application portal.
If you are applying to admit a newly formed stand-alone or affiliate insurance company, or to re-domesticate into a Uniform State, you will need to file a Primary Application. Also, if you are applying to admit an alien insurer in its first state, you will need to file a Primary Application.
If you are an existing company and would like to obtain a Certificate of Authority in uniform states, please use the Expansion Application, available in electronic format .
If you are an existing company and would like to amend your Certificate of Authority, such as adding or deleting lines of business, please use the Corporate Amendments Application, also available in electronic format.
Primary Application Instructions
UCAA Forms |
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| Form # | Form Name |
Format |
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| 1P | Primary Checklist | |||
| 2P | Primary Application | |||
| 3 | Lines of Insurance | |||
| Lines of Business Matrix | ||||
| 8 | Questionnaire (Primary and Expansion) | |||
| 11 | NAIC Biographical Affidavit |
PDF |
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| 11a | Biographical Affidavit Cover Letter |
PDF |
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| 11b | Biographical Affidavit Addendum Pages | Residence Education Employment Licenses Professional Societies General Blank |
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| 13 | ProForma Financial Statements (Property/Casualty Companies) |
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| 13 | ProForma Financial Statements (Life/Health Companies) |
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| 13 | ProForma Financial Statements (Title Companies) |
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| 13 | ProForma Financial Statements (Health Companies) |
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If you are applying to admit a newly formed stand-alone or affiliate insurance company, or to re-domesticate into a Uniform State, you will need to file a Primary Application. Also, if you are applying to admit an alien insurer in its first state, you will need to file a Primary Application.
If you are an existing company and would like to obtain a Certificate of Authority in uniform states, please use the Expansion Application, available in electronic format .
If you are an existing company and would like to amend your Certificate of Authority, such as adding or deleting lines of business, please use the Corporate Amendments Application, also available in electronic format.
Expansion Application Insurance Industry User Guide
Expansion Application Instructions
UCAA Forms |
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| Form # | Form Name |
Format |
||
| 1E | Expansion Checklist | |||
| 2E | Expansion Application | |||
| 3 | Lines of Insurance | |||
| Lines of Business Matrix | ||||
| 6 | Certificate of Compliance | |||
| 7 | Certificate of Deposit | |||
| 8 | Questionnaire (Primary and Expansion) | |||
| 11 | NAIC Biographical Affidavit |
PDF |
||
| 11a | Biographical Affidavit Cover Letter |
PDF |
||
| 11b | Biographical Affidavit Addendum Pages | Residence Education Employment Licenses Professional Societies General Blank |
||
| 12 | Uniform Consent to Service of Process (Expansion and Corporate Amendments Only) | |||
| 13 | ProForma Financial Statements (Property/Casualty Companies) |
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| 13 | ProForma Financial Statements (Life/Health Companies) |
|||
| 13 | ProForma Financial Statements (Title Companies) |
|||
| 13 | ProForma Financial Statements (Health Companies) |
|||
If you are applying to admit a newly formed stand-alone or affiliate insurance company, or to re-domesticate into a Uniform State, you will need to file a Primary Application. Also, if you are applying to admit an alien insurer in its first state, you will need to file a Primary Application.
If you are an existing company and would like to obtain a Certificate of Authority in uniform states, please use the Expansion Application, available in electronic format .
If you are an existing company and would like to amend your Certificate of Authority, such as adding or deleting lines of business, please use the Corporate Amendments Application, also available in electronic format.
Corporate Amendment Application Insurance Industry User Guide
UCAA Forms |
||||
| Form # | Form Name |
Format |
||
| 1C | Corporate Amendments Checklist | |||
| 2C | Corporate Amendments Applications | |||
| 3 | Lines of Insurance | |||
| Lines of Business Matrix | ||||
| 6 | Certificate of Compliance | |||
| 7 | Certificate of Deposit | |||
| 8C | Questionnaire (Corporate Amendments) | |||
| 11 | NAIC Biographical Affidavit |
PDF |
||
| 11a | Biographical Affidavit Cover Letter |
PDF |
||
| 11b | Biographical Affidavit Addendum Pages | Residence Education Employment Licenses Professional Societies General Blank |
||
| 12 | Uniform Consent to Service of Process (Expansion and Corporate Amendments Only) | |||
| 13 | ProForma Financial Statements (Property/Casualty Companies) |
|||
| 13 | ProForma Financial Statements (Life/Health Companies) |
|||
| 13 | ProForma Financial Statements (Title Companies) |
|||
| 13 | ProForma Financial Statements (Health Companies) |
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| 14 | Change of Address/ Contact Notification Form | |||
| 15 | Affidavit of Lost Certificate of Authority | |||
| 16a | Statement of Voluntary Dissolution | |||
| 16b | Statement of Voluntary Dissolution-RRGs | |||
| 17 | Statement of Withdrawal | |||
UCAA Publications
Instructions for Proposal Forms
Help Desk
816-783-8500
help@naic.org
Jane Barr
816-783-8413
jbarr@naic.org
Crystal Brown
816-783-8146
cbrown@naic.org