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What's New

Last Revised on 02/10/2021

Company Licensing Working Group

The National Treatment and Coordination (E) Working Group is co-chaired by Debbie Doggett, Missouri Insurance Department and Linda Johnson, Wyoming Department of Insurance. This group was established to address and review the Company Licensing Model Act #320 with regards to the Primary and Expansion applications, along with the hard copy requirements for the electronic UCAA format, and other issues with the electronic UCAA tool as needed. The Biographical Third-Party Review (E) Subgroup was established to vet the background reporting agencies listed on the UCAA website; continually examine the biographical affidavit requirements; background investigation report guidelines and processes.

Any questions or concerns contact Jane Barr jbarr@naic.org or Crystal Brown cbrown@naic.org.

Proposals for UCAA forms and instructions are posted on the UCAA home page. All suggested changes should utilize the proposal form and be sent via email to Jane Barr jbarr@naic.org.

For updates to the state charts or the UCAA webpage email Crystal Brown cbrown@naic.org. 

Contact Jane Barr jbarr@naic.org for all training requests regarding the UCAA application and the Form A Database.

Description of Change Posted Date

Enhancements were made to the UCAA electronic application for:

  • Amending an application – an application can be amended if it is less than two-years from the original submission date, the system will not allow applications with an original submission date older than two-years to be amended.
  • Form 3 – enhancements were made to the electronic application to reflect when a state has had a change to their lines of business.
11/24/2020
Corporate Amendment Requirements – The Application Progress page was updated to validate requirements each corporate amendment type. 04/12/2019
Form 12 – the language in the electronic application for the question “Organized under the laws of” was revised to match the hard copy of Form 12. 04/12/2019
Form 14 – External Healthcare Review Contact was added; New Mailing Address phone number description was updated to “Main Administrative Office Phone Number.” 04/12/2019
The UCAA Primary, Expansion and Corporate Amendment Instructions were changed from HTML format to PDF format on the UCAA webpage. 04/02/2018
The Application Selection Page in the electronic application was revised. For more detail, refer to the UCAA Industry User Guides on the UCAA webpage. 12/08/2017
Corporate Amendment Attachments – Section references were updated based on changes to the Corporate Amendment instructions. 09/15/2017
Form 12 - a separate field for the authorization date was added to the electronic application.  04/21/2017
Form 2C – was modified to validate the application information according to the change type selected. All required (*) information must be completed before the application can be submitted. 03/17/2017
The Letter of Good Standing Templates for Life and Non-Life companies has been added to the Company Licensing page on StateNet. 02/28/2017
Form 2C – A dropdown field to add the non-surviving entity’s cocode has been added to page 1 for a Merger of Two or More Foreign Insurers. 12/09/2016
Form 2C – The question “Has the Applicant Company’s designee to appoint and remove agents changed as a result of this corporate amendment?” was added to the electronic application. 08/19/2016
Form 12 – Uniform Consent to Service of Process was added as a stand-alone application to the UCAA electronic application. 03/26/2016
New links were added to the UCAA webpage for Company Licensing Events and UCAA Definitions. 04/03/2015

Definitions

Description of Changes Posted Date

The definition for “NAIC Biographical Affidavit” was revised from “not more than one year” to “not more than six months”

Effective 1/1/2019 signatures on the biographical affidavit will be required to be within 6 months of the application submission.

04/02/2018
 

06/22/2018

Modification to add “cyber security” to the “Key Persons in Control Functions” definition was adopted by the NTC(E)WG.  12/08/2017
Modifications to “State Charts” and “State-Specific Information” definitions were adopted by NTC(E)WG. 09/25/2017
The definition for “Admitted” was revised. 10/14/2016
Definitions adopted by the NTC(E)WG for Alien Insurer, Domestic Insurer, Domiciliary State and Foreign Insurer were added to the UCAA Definitions on the UCAA webpage. 01/12/2016

Instructions

Description of Changes Revision Date

The Primary Application instructions were revised for Item 7. Holding Company Act Filings to include the Corporate Governance Annual Disclosure (CGAD) and a new Item 21. Corporate Governance Annual Disclosure was added to the Primary Application Redomestication instructions.
EDITORIAL CHANGE: The page numbers for the Expansion and Corporate Amendment Instructions were updated as a result of the changes to the Primary Application instruction changes. 

12/08/2020
EDITORIAL CHANGE: The sentence “California, Kentucky and New York require two (2) complete copies.” was removed from the Expansion instructions and these sentences were removed from the Corporate Amendment instructions “Louisiana and New York require two (2) complete copies. California requires two (2) complete copies for each change.” 12/09/2019

The Expansion Instructions Section 1 were revised to clarify that the Applicant Company must be authorized in their domiciliary state for the lines of business requested in the application.
The Corporate Amendment Adding and/or Deleting Lines of Business Instructions were revised to clarify that the Applicant Company must identify the lines of business it is currently authorized to transact and specify which lines of authority to add or delete.

12/09/2019
Added Statement of Voluntary Dissolution Instructions to the Corporate Amendment Instructions. 04/08/2019
The Primary, Expansion and Corporate Amendment instructions were revised for the Biographical Affidavit to add “Each question on the biographical affidavit must have a response. If an answer is “None”, then so state. Incomplete biographical affidavits could delay the background investigation report and result in a delay of the application review by the state.” 04/08/2019
EDITORIAL CHANGE: The email address to notify the NAIC of a merger, name change, change of control or redomestication has been changed from FDRCCREQ@NAIC.ORG to jheinz@naic.org. 08/06/2018
The Corporate Amendment Adding/Deleting Lines of Business Instructions were revised to provide instruction that the Applicant Company should not apply for or retain any lines of business that they are not authorized to write in their domiciliary state. 08/06/2018

The Primary, Expansion and Corporate Amendment instructions/best practices were revised to allow for acceptance of the biographical affidavit for six months from the original signature date and a new background report for updated biographical affidavit.

Effective 1/1/2019 signatures on the biographical affidavit must be within 6-months of the application submission date.

03/26/2018

 

06/22/2018

The Corporate Amendment and Expansion instructions for biographical affidavits were modified to add a Disclaimer of Control requirement if the individual with 10% or more beneficial ownership in the Applicant Company or the Applicant Company’s ultimate controlling person does not file a biographical affidavit.  03/26/2018
The Expansion and Corporate Amendment Instructions (Adding/Deleting Lines of Business and Merger) were revised to add references to review the Seasoning Requirements prior to submitting the application.

03/26/2018

The Primary, Expansion and Corporate Amendment instructions were revised to specify that the application can be submitted in hard-copy or filed electronically. References to other tools on the UCAA website were added and references to a manual that is no longer provided were removed. 08/08/2017
Instructions were added for the Uniform Consent to Service of Process application. 12/12/2016
The Corporate Amendment instructions were revised for a Merger of Two or More Foreign Insurers for the non-surviving entity. 12/12/2016
The Corporate Amendment Instructions for a Merger of Two or More Foreign Insurers were revised in Step 2 to include a reference for referring to the UCAA FAQs-General. 08/28/2016

The UCAA Primary, Expansion and Corporate Amendment Application Instructions were updated on the UCAA webpage.

  • The following changes were made to the Primary, Expansion and Corporate Amendment instructions:
    • Reference for “Applicant Company” was added.
    • The “How to File” section was updated.
    •  Plan of Operation/Proforma Instructions were updated
  • The reference for “Holding Company Act Filings” and instructions were updated for the primary and expansion application.
  • The Statutory Deposit Certificate instructions were updated for the expansion and corporate amendment application.
11/18/2014

Best Practices

Description of Change Revision Date
EDITORIAL CHANGE: References to Level 1 were removed from pages 33 and 82. 12/09/2019
The Best Practices were updated to include changes for Risk-Based Prioritization to align with the Financial Analysis Handbook; Part D Organization Licensing Standards; changes in the NAIC Insurance Data Security Model Law (#668); biographical affidavit review process; and the addition of the corporate amendment change type Statement of Withdrawal/Complete Surrender and the Appendix E – Speed to Market. 12/09/2019
Best Practices were added to Primary, Expansion and Corporate Amendment – NAIC Biographical Affidavit sections for utilizing regulatory tools in the review of the Biographical Affidavit. 04/08/2019

The Primary, Expansion and Corporate Amendment instructions/best practices were revised to allow for acceptance of the biographical affidavit for six months from the original signature date and a new background report for updated biographical affidavit.

Effective 1/1/2019 signatures on the biographical affidavit must be within 6-months of the application submission date.

03/26/2018

 

06/22/2018

Primary Application Review Checklist – revisions were made to Item 2 to clarify biographical affidavit requirements and the requirements for appointed actuaries and appointed CPA. 12/04/2017
Appendix D – Form A Review Best Practices were added to the Handbook and references to the new Appendix were added. 08/08/2017
Best Practices were added for the Review of the Plan of Operations (Proforma, Financial Statements, Narrative/Business Plan and Questionnaire). 04/10/2017
Best Practices were added for the Uniform Consent to Service of Process application. 12/12/2016
The Corporate Amendment Application – Redomestication was revised in Section 1 for Form 3 and the Lines of Business Matrix. 12/12/2016
The Primary Application Review Checklist was added to Appendix A of the Best Practices as well as references to the checklist in the Primary Application Section. 08/28/2016
The Corporate Amendment Application – Merger of Two or More Foreign Insurers were revised for Form 3. 08/28/2016

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change Revision Date/
Adoption Date
Posted Date
Form 1P was revised to add the Corporate Governance Annual Disclosure (CGAD) to Item 7 and a new Item 21 – Corporate Governance Annual Disclosure was added to the Redomestication section. 12/08/2020 12/16/2020
Form 1C, 1E & 1P were revised to allow for acceptance of the biographical affidavit for six months from the original signature date. 03/26/2018 04/02/2018
Form 1C & 1E were updated to add clarification to key managerial personnel who are required to complete a biographical affidavit and language was added to require a Disclaimer of Control be filed for individuals with 10% or more beneficial ownership in the Applicant Company or the Applicant Company’s Ultimate Controlling Person.

Form 1P was update to add clarifying language for those individuals who are defined as key managerial personnel.

03/26/2018 04/02/2018

Form 1C & 1E – Sentence was added that the Form cannot be edited for electronic filings and additional items to the application should be attached via the UCAA portal or mailed directly to the state.

Form 1C – Item 12 and 14 detail descriptions were revised.

12/04/2017 03/22/2018
Form 1C – Section references were updated based revisions to the Corporate Amendment instructions. 08/08/2017 09/15/2017
Form 1C, Item 1. Application Form was updated to include Section VIII in "Original Certificate of Authority or an Affidavit of Lost Certificate of Authority (Form 15) (not applicable for Sections VIII, IX and X).” 11/18/2014 10/14/2016
Form 1E & Form 1P - Language was added to the checklists for consistency with the instructions. The change adds clarifying language to identify the requirements for Reports of Examination section. 03/30/2015 04/17/2015

Form 1C – Section VIII was added to the Plan of Operation and revised the Certificate of Deposit for Statutory Deposit Requirements section.

Note: States should accept both the 11/18/14 and 12/19/14 revision date for Form 1C for applications submitted on or before 8/3/16.

12/19/2014

Revision date should have been 11/18/14

12/19/2014
Form 1E & 1P – Revisions were made to 7. Holding Company Act Filings and Form 1C, 1E & 1P Applicant Company reference was added. 11/18/2014 12/04/2014

 

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date
Form 2C – was modified to group relevant application information according to change type selected. 02/28/2017

03/17/2017 (electronic application)

05/11/2017 (word and PDF)

Form 2C – a text box to include the name and cocode of the non-surviving entity were added to Page 1 for a Merger of Two or More Foreign Insurer. 08/29/2016 12/09/2016
Form 2C – Change of City of Domicile within Domestic State/Mailing Address was changed to Change of Statutory Home Office Address. 08/29/2016 10/14/2016
Form 2E - A new question was added that asks if the Applicant Company is a member of a group or is required to file an Own Risk Solvency Assessment (ORSA) report. 08/18/2014 04/17/2015
Form 2C – Added the following: previous and new group name; previous and new state for a redomestication; effective date of merger; effective date of change of control of a foreign insurer and the previous and new group code. 08/18/2014 12/19/2014
Form 2P – The term “Applicant Company” was added to be used uniformly in all UCAA forms. 08/18/2014 12/04/2014

 

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

State Line of Business Revision Date Posted Date
New Hampshire Added the new line of business “Health Maintenance Organization (RSA 402-B)” 11/04/2020 11/04/2020
Georgia Inserted the term “Casualty” for the following lines of business: “Casualty – Including Workers’ Compensation [O.C.G.A. Section 33-7-3]” and “Casualty – Excluding Workers’ Compensation [O.C.G.A Section 33-7-3]” 11/04/2020 11/04/2020
Arkansas Added “Liability (ACA 23-62-105)” and “Fidelity (ACA 23-62-106)” to the hard copy Form 3 only. 11/04/2020 11/04/2020
Alaska Removed “Automobile Service Corporation (AS 21.59)” from the electronic application Form 3 only. 11/04/2020 11/04/2020
Utah The Life Insurance including annuity and variable products line of business were split out into three separate lines: Life Insurance (Utah Code Ann. §31A-1-301(110)); Annuity (Utah Code Ann. §31A-1-301(9)); Variable Contract (Utah Code Ann. §31A-20-106). 08/14/2020 08/14/2020
Washington New lines of business were added for: Health (RCW 48.11.030); Health Maintenance Organization (RCW 48.46); Health Care Service Contractor (RCW 48.44); Limited Health Service Contractor (RCW 48.44). 01/22/2020 01/22/2020
Arkansas New line of business was added for: Health Maintenance Organization (23-76-102). 01/22/2020 01/22/2020
Utah Headings were added for Health, Life and Property and Casualty and the lines of business were recategorized by line of business. Sublines were added for Limited Health Plan – Dental and Limited Health Plan – Vision. Updates to statute references were made to the following lines of business: Life Insurance including annuity and variable products; Credit Guarantee; Legal Expense; Liability Insurance; Marine & Transportation; Motor Club; Professional Liability excluding medical malpractice; Professional Liability including medical malpractice; Property insurance; Surety Insurance; Title Insurance; Vehicle Liability Insurance; and Workers' Compensation Insurance. 10/24/2019 10/24/2019
Hawaii Added subclass lines of business to Life Insurance, Property Insurance and Marine and Transportation lines of business and updated statute references. 07/12/2019 07/12/2019
Hawaii Split Property Insurance (Section 431: 1-206, HRS)* into two separate lines of business: Property Insurance, with Hurricane (Section 431: 1-206, HRS)* and Property Insurance, without Hurricane (Section 431: 1-206, HRS). 05/07/2019 05/07/2019
Texas Added footnote references to Title, Mortgage Guaranty Type I and Type II lines of business. Updated footnote (h) and added footnote (i). 04/03/2019 04/03/2019
Pennsylvania Editorial change to footnote: Note 3. 04/03/2019 04/03/2019
New York Split (3) (i) & (ii) – A&H into two separate lines of business: (3) (i) – A&H – Other Than Non-Cancellable Disability and (3) (ii) – A&H – Non-Cancellable Disability. 04/03/2019 04/03/2019
Georgia Added statute references to all lines of business, added new lines of business: Casualty [O.C.G.A. § 33-3-5(3)] and Health Maintenance Organization [O.C.G.A § 33-3-5(6) and § 33-21-1 et. seq.] 04/03/2019 04/03/2019
Alaska Split Marine, Wet Marine & Transportation (A.S. 21.12.090) into two separate lines: Marine (A.S. 21.12.090(a)) and Wet Marine & Transportation (A.S. 21.12.090(b)) 04/03/2019 04/03/2019
Utah Added a new line of business for “Property (Section 31A-1-301 (41)(a))” and revised statute references for the following lines of business: Life Insurance, including annuity and variable products, (Utah Code Ann. § 31A-1-301(9) & 31A-20-106)); Accident & Health (Utah Code Ann. § 31A-1-301(1)(a)); Property Insurance (Utah Code Ann. § 31A-1-301 (145)(a)(b));  Surety Insurance (Utah Code Ann. § 31A-1-301 (169)); Vehicle Liability Insurance (Utah Code Ann. § 31A-1-301(177)); Liability Insurance (Utah Code Ann. § 31A-1-301(104)(a)); Marine and Transport (Utah Code Ann. § 31A-1-301(88) & (126)); Workers’ Compensation Insurance (Utah Code Ann. § 31A-1-301(180)); Title Insurance (Utah Code Ann. § 31A-1-301(172)); Professional Liability, excluding medical malpractice (Utah Code Ann. § 31A-1-301(103)(a)); Professional Liability, including medical malpractice (Utah Code Ann. § 31A-1-301(115 & 138)); Motor Club (Utah Code Ann. § 31A-1-301(116)); Limited Health Plan (Utah Code Ann. § 31A-8-101(3)(a)); Credit Guarantee (Utah Code Ann. § 31A-1-301(36)(a)); Legal Expense (Utah Code Ann. § 31A-1-301(103)(a)) 11/15/2018 11/15/2018
Michigan Revised the line description to insert the word “Casualty” for the following lines of business: Steam Boiler, Flywheel and Machinery (MCL 500.624(1)a); Liability (MCL 500.624(1)b); Automobile, including Section 500.625, disability coverage supplemental to automobile insurance (MCL 500.624(1)b); Workers’ Compensation (MCL 500.624(1)b); Plate Glass (MCL 500.624(1)c); Sprinkler and Water Damage (MCL 500.624(1)d); Credit (MCL 500.624(1)e); Burglary and Theft (MCL 500.624(1)f); Livestock (MCL 500.624(1)g); Malpractice (MCL 500.624(1)h); Miscellaneous (MCL 500.624(1)i). 11/15/2018 11/15/2018
District of Columbia Added four new lines of business: (2.4) Private Crop (Sec. 31-2502.11), (2.5) Private Flood (Sec. 31-2502.11), (17.1) Other Liability—Occurrence (Sec. 31-2502.11) and (17.2) Other Liability—Claims Made (Sec. 31-2502.11). Revisions were made to the descriptions of the following lines of business: (11) Medical Malpractice (Sec. 31-2502.11); (15.2) Non-cancelable A&H (Sec. 31-2502.11); (15.7) All Other A&H (Sec. 31-2502.11); (15.8)   Federal Employees Health Benefits Program 11/15/2018 11/15/2018
Pennsylvania Updated the website link in Note 3 to: http://www.insurance.pa.gov/Companies/DoingBusiness/Documents/LIBC_211I.pdf 01/19/2018 01/19/2018
New Mexico The New Mexico lines of business were revised effective July 1, 2017 to: Life and Annuities (NMSA Section 59A-7-2); Accident and Health (NMSA Section 59A-7-3); Property (NMSA 59A-7-4); Casualty (NMSA Section 59A-7-6); and Variable Life and Annuity (NMSA Section 59A-7-7). 01/19/2018 01/19/2018
Illinois Added three new lines of business: Fraternal Benefit Society [215 ILCS 5/282.1 et.seq.]; Health Maintenance Organization (HMO) [215 ILCS 125/1-1 et seq.]; Limited Health Service Organization (LHSO) [215 ILCS 130/1001 et seq.] 11/06/2017 11/06/2017
Hawaii

Revised line description for “Disability (Section 431:1-205, HRS)” to “Accident and Health Insurance (Section 431:1-205, HRS).”
Added footnotes and revised footnote references for the Property Insurance, Vehicle Insurance, General Casualty Insurance and Ocean Marine. 

10/13/2017 10/13/2017
Texas Updated Footnotes (c) and (e). 03/03/2017 03/03/2017
Pennsylvania Updated the website link in Note 3 to: http://www.insurance.pa.gov/Documents/libc-211i-rev-08-2012.pdf. 09/15/2016 02/13/2017
Arizona Added a new line of business for Recognized Surplus Lines A.R.S. §§ 20-407.01 & 20-409. 09/15/2016 09/16/2016
Vermont Added statute/regulation reference for the Variable Annuity and Variable Life lines of business to include “(Section 3301(a)(1))” with “(Section 3857).” 07/27/2016 07/29/2016
Virginia Removed Modified Guaranteed Life #71 and Modified Guaranteed Annuities #72. 03/03/2016 03/03/2016
New Hampshire Revised description of the Liability/Casualty Coverages, including Workers’ Compensation (RSA 401.1.V) and Other Casualty Risks. Insurance against any other casualty risk not otherwise specified under paragraph V. (RSA 401.1, VIII) lines of business.  01/12/2016 01/12/2016
South Dakota Deleted the line of business for (23-B) Prepaid Legal. 09/08/2015 09/08/2015
California Deleted the line of business for Mortgage (CIC 117). 08/14/2015 08/14/2015
Kansas Added a new line of business for Cost of Legal Services. 07/01/2015 07/01/2015
Texas Deleted the line of business Prepaid Legal Services (h) and Footnote (H) Prepaid Legal Services business also has a separate policy forms filing requirements. 03/04/2015 03/04/2015
District of Columbia Updated line (21.1) Private Passenger Auto Physical Damage (Sec. 31-2502.11) and added (20) Glass (Sec-2502.11). 02/18/2015 02/18/2015

State

Line of Business

Revision Date

Utah

Updates the life, annuity and variable annuity references with the new lines of business.

08/14/2020

Pennsylvania

Statute references were updated for the following lines of business: Accident & Health and Credit Accident & Health.

01/16/2020

Hawaii

Statute references were updated for the following lines of business: Ocean Marine, Inland Marine and Aircraft (all perils).

01/16/2020

Hawaii

Added subclasses to Life Insurance, Property Insurance and Marine and Transportation lines of business and updated statute references.

07/12/2019

Hawaii

Updated the Lines of Business for Property Insurance, with Hurricane (Section 431: 1-206, HRS)* and Property Insurance, without Hurricane (Section 431: 1-206, HRS).

05/07/2019

Maine

Corrected line of business reference for Multiple Peril Crop to Allied Lines from Farmowners Multiple Peril.

04/05/2019

Texas

Updated statute references for Mortgage Guaranty and Title lines of business.

04/03/2019

Georgia

Added Health Maintenance Organization line of business and statute reference.

04/03/2019

Florida

Removed statute reference “Commercial Auto Physical Damage Only (0212) from 21.1 Private Passenger Auto Physical Damage line and added statute reference “Commercial Auto Physical Damage Only (0212) and Casualty (Section 624.605) to Line 21.2 Commercial Auto Physical Damage.

04/03/2019

Delaware

Added statute references for the following lines of business: Private Crop, Private Flood; Federal Employees Health Benefits Plan Premium, Other Liability – Claims Made; Commercial Auto Physical Damage and Title.

04/03/2019

Connecticut

Added statute references for the following lines of business: Private Crop, Private Flood, Federal Employees Health Benefits Plan Premium, Other Liability – Claims Made, and Commercial Auto Physical Damage.

04/03/2019

All States

Added the following lines of business to the Matrix: 2.4 Private Crop; 2.5 Private Flood; 15.8 Federal Employees Health Benefits Plan Premium; 17.1 Other Liability – Occurrence; 17.2 Other Liability – Claims Made; 21.1 Private Passenger Auto Physical Damage; and 21.2 Commercial Auto Physical Damage.
Updates were made to the following states as a result of the changes to the Matrix: AK, AL, AR, AZ, DC, GA, HI, IN, KS, KY, LA, MA, ME, MI, MN, MO, MS, MT, NC, ND, NH, NM, NV, OK, OR, PA, TN, TX, UT, VA, VT, WA, WI, WY.

11/15/2018

 

California

The statute reference for Other Liability was revised to Liability (CIC 108)

09/24/2018

New Mexico

Updated for references to the new lines of business on the Matrix

01/19/2018

Hawaii

The statute reference for “Disability (Section 431:1-205, HRS)” was revised to “Accident and Health Insurance (Section 431:1-205, HRS).”

10/13/2017

Vermont

Added statute/regulation reference to the Variable Annuities line of business “and (§ 3857)”

07/27/2016

Connecticut

Added a line of business reference to 15.4 Non-renewable for stated reasons only; 15.6 Medicare Title XVIII exempt from state taxes or fees; 17.3 Excess Workers’ Compensation; 30 Warranty and Health Care Center (HMO).

08/26/2015

Kansas

Added a new line of business for Cost of Legal Services

07/01/2015

Texas

Deleted references to Prepaid Legal Services (h) in Lines: 23 Fidelity; 34 Aggregate write-ins for other lines of business ; and Life

03/04/2015

Florida

Updated the statute/regulation references for all annual statement lines of business on the Matrix

03/02/2015

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date, with the exception of Form 6 – Certificate of Compliance and Form 7 – Certificate of Deposit which may only be accepted up to 6 months or 1 year depending on the state’s requirement. Please check the Certificate of Compliance and Certificate of Deposit Requirements chart for each state’s requirements. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

Corrected the formatting/spacing for the date.

Note: States should accept both the 08/18/04 and 08/18/14 revision date for Form 6 for applications submitted on or before 08/31/2017. Certificates processed through the electronic application reflect the 8/18/2014 revision date.

08/18/2004

Revision date should have been 08/18/14

04/04/2017

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

Note: States should accept both the 08/18/04 and 08/18/14 revision date for Form 6 for applications submitted on or before 08/31/2017. Certificates processed through the electronic application reflect the 8/18/2014 revision date.

08/18/2004

Revision date should have been 08/18/14

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date, with the exception of Form 6 – Certificate of Compliance and Form 7 – Certificate of Deposit which may only be accepted up to 6 months or 1 year depending on the state’s requirement. Please check the Certificate of Compliance and Certificate of Deposit Requirements chart for each state’s requirements. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

The NTC(E)WG adopted the addition of “___Policyholders or Creditors” to the “For benefit of” section.

08/17/2015

02/19/2016

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

Form 8 - A new sub-question F. was added to Question 15. The new requirement will require the Applicant Company to attach a copy of their investment policy as part of the questionnaire. The new requirement pertains only to a primary and redomestication application.

11/18/2014

12/04/2014

Form 8 and 8C – The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

Important Information

NOTE:  The form will be accepted up to six months from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

The Biographical Affidavit was revised to update the Notary section on Pages 6, 8, 9, 10, and 11 to add the following verbiage within the notary section “foregoing instrument was acknowledged before me by means of _physical presence or _ online notarization,…”.
Effective 1/1/2021.

12/08/2020

12/16/2020

The form was revised to add a section to “Specify Purpose for Completion” and Form A:________  UCAA Type:_________   Other: ________; clarification to list the Applicant Company Name, Address, City, State/Province, Postal Code, and Phone on Page 1 and 7; and the Government ID Number and Country of Issuance was added to Question 4 of the Supplemental Personal Information.
Effective 1/1/2020.

12/09/2019

12/16/2019

Language was added to Question 15 for officers, directors, etc. employed by the holding company to include the group code. Language was also added to indicate that all fields must have a response.

04/08/2019

04/09/2019

The disclosure language in Form 11 was revised to reflect the six-month signature requirement.

Effective 1/1/2019 signatures on the biographical affidavit must be within 6-months of the application submission date.

03/26/2018

06/11/2018
 

06/22/2018

Additional language was added to Form 11- Biographical Affidavit and the Supplement Information page regarding additional requirements for international searches.

12/04/2017

12/08/2017

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

Added “Statutory” before “Home Office Address” to clarify that the address listed should be the Statutory Home Office Address and further clarification was added for companies that are organized in one state and domiciled (regulated) in another state.

12/09/2019

01/10/2020

Exhibit A was updated for Montana to reflect that a resident agent is now required to receive the Service of Process.

06/28/2019

06/28/2019

Removed Secretary of State requirement for Vermont from Exhibit B.

03/15/2019

03/15/2019

The NTC(E)WG adopted the addition of a signature date for the Secretary to be added to the Resolution page.

11/21/2015

02/19/2016

Minnesota can now accept Form 12. The Exhibit A was updated to reflect the changes for the Minnesota requirements.

11/21/2015

02/19/2016

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

P/C – Corrected the formula in the Nation Net Prem & Loss Dev LOB to remove the “*1000” and removed the “Verification from P&L” line from the Authorized Incurred Loss by LOB tab. Note: There was no change to the revision date of the form since changes were the results of a correction.

01/01/2019

02/15/2019

Health, Life, P/C and Title – The proforma workbooks were converted to Microsoft Office 2010 and revised to closely follow the annual statement. See UCAA website for detailed revisions.

01/01/2019 (revision)/
11/17/18 (adopted)

11/26/2018

Health – LOB Analysis Tab, the XXX were removed from Lines 6 & 15 for the Other Non-Health Column and formulas were updated to include these amounts.

10/07/2016

10/07/2016

Health – The format type was updated to .xls.

01/20/2015

01/20/2015

The term “Applicant Company” was added to be used uniformly in all UCAA forms for Life, Health, P/C and Title.

08/18/2014

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

The NTC(E)WG adopted changes to include: 1) new contact for External Healthcare Review; 2) modifications to move the “Note” from the bottom of page 1 to the paragraph below the Mailing Address/Contact Change header; 3) added “Main Administrative Office” in front of phone number for the New Mailing Address; and 4) removed the state table from page 2.

04/08/2019

04/12/2019

The NTC(E)WG adopted a requirement for a toll free/instate phone number to be listed for the claims information contact; consumer complaints contact; and policyholder information contact.

04/10/2017

04/21/2017

The NTC(E)WG adopted changes to include: 1) Modifications to the language under the Name Change, Mailing Address/Contact Change and Notes sections; 2) the addition of the Fraud Assessment Invoice Contact; and 3) clarification to the line description for the “Name of MGA.”

08/17/2015

02/19/2016

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

The following verbiage was added within the notary section “foregoing instrument was acknowledged before me by means of _physical presence or _ online notarization,…”.

12/08/2020

12/16/2020

Original Development of the Form.

3/28/2010

 

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

Form 16a and Form 16b instructions were removed from the webpage and added to the Corporate Amendment Instructions.

04/08/2019

04/12/2019

Form 16b – Original Posting of the Form and Instructions.

04/25/2014

 

Form 16a – Original Development of the Form and Instructions.

08/16/2010

 

Important Information

NOTE:  Forms will be accepted up to one year from the signature date, the most recent form should be utilized, check the revision date on each form and verify the posting date, listed below. States can accept prior versions as long as the application is submitted prior to the posting date. The copyright date of the form should not be older than the revision date. The electronic application is automatically updated to the most recent copyright and revision date of each form.

Description of Change

Revision Date/
Adoption Date

Posted Date

The term “Applicant Company” was added to be used uniformly in all UCAA forms.

08/18/2014

12/04/2014

State

Description of Change

Posted Date

Texas Updated Filing Fee Requirements and inserted link https://www.tdi.texas.gov/forms/fincolicense/fin321clrfeetra.pdf. 02/10/2021

Hawaii

Updated information under the Uniform Certificate of Authority Applications (UCAA) section for: applications to be filed electronically and payment of fees through OPTins.

01/13/2021

New Mexico

Removed link: http://www.osi.state.nm.us/CompanyLicensing/index.aspx

Replaced Link with: https://www.osi.state.nm.us/wp-content/uploads/2020/11/New-Contact-Processing-Form.pdf

Removed link: http://public.nmcompcomm.us/nmpublic/gateway.dll/?f=templates&fn=default.htm Replaced link with: https://laws.nmonesource.com/w/nmos/Chapter-59A-NMSA-1978

01/06/2021

Florida

Updated link for Statutory Deposits to https://myfloridacfo.com/division/treasury/collateral-management

Updated Application Coordination Contact Information section.

12/18/2020

Kansas

Update link under the Legal Reference section to: https://sos.ks.gov/business/business.html

Updated link to obtain Kansas Bulletins to: https://insurance.ks.gov/department/LegalIssues/bulletins.php

12/15/2020

California

Updated website link for Retaliatory Fee Bulletin to: https://www.insurance.ca.gov/0250-insurers/0300-insurers/0200-bulletins/bulletin-notices-commiss-opinion/Bulletin2018-4.cfm
Updated address for Fee for Name Reservation to 1901 Harrison Street, 6th Floor, Oakland, CA 94612.

12/15/2020

Texas

Added the following to the state specific information: “The Certificate of Deposit and Certificate of Compliance is no longer required for the UCAA Expansion and Corporate Amendment application.”

10/29/2020

Florida

Updated the following information:

Post-Filing Requirements

Anti-Fraud Plans - https://antifraudportal.fldfs.com/Default.aspx

Statutory Deposits:  https://www.myfloridacfo.com/division/treasury/collateralmanagement/

Contact Telephone Numbers

Anti-Fraud Contact Information
Contact Emily Graetz, Division of Investigative & Forensic Services, 200 E. Gaines Street, Tallahassee, Florida 32399-0324. Or a request may be made by phone: (850) 413-4094, or email: Emily.Graetz@myfloridacfo.com or difsiuadmin@myfloridacfo.com

Application Coordination Contact Information
Contact the Office of Insurance Regulation, Company Admissions Section, 200 E. Gaines Street, Larson Building, Tallahassee, Florida 32399-0326 or inquiries may be made by phone at 850/413-2512 for Life & Health Applications, email address lhappcoord@floir.com,  or 850/413-2575 for Property & Casualty Applications, email address pcappcoord@floir.com.

09/23/2020

North Dakota

Updated contact information to Laura Helbling.

07/01/2020

Georgia

Updated the Lexis Law reference under the Legal References section.

06/12/2020

Mississippi

Updated Lexis Law reference under the Legal References section.

06/12/2020

Oregon

Updated link under the Legal References section to https://dfr.oregon.gov/business/reg/Pages/index.aspx

06/12/2020

Rhode Island

Updated website links to the Filing instructions, Legal References, and Registration of Other Company Types.

06/12/2020

New Mexico

Updated website links to the Company Contact Processing Form, Legal References and Section 59A-37-2 and 59A

06/12/2020

North Carolina

Updated the primary application contact information to Joseph Greene.

05/06/2020

Virginia

In the Corporate Amendments, Mergers, etc. section updated Form SCC710N to Form SCC760/922 and added the following links:  Clerk’s Office Website https://www.scc.virginia.gov/pages/Forms-and-Fees and https://www.scc.virginia.gov/pages/Foreign-Corporations.

04/24/2020

Virginia

Updated link in the Legal References section to https://scc.virginia.gov/pages/Administration-of-Insurance-Regulation-in-Virginia.

Updated the contact in the Reinsurance Companies section to Henry Harris, henry.harris@scc.virginia.gov,  (804) 371-9186. 

04/23/2020

Washington

Revised the following sections: Legal References; Admission Fees; and Capital and Surplus Requirements.

01/09/2020

Vermont

Updated website link to Bulletin 43.

01/09/2020

North Dakota

Updated contact information.  

01/09/2020

Michigan

Updated the Legal References website link.

01/09/2020

Maryland

Updated the link to the certificate of compliance form for Workers’ Compensation.

01/09/2020

Illinois

Added the Insurance Laws and Insurance Regulations website links.

01/09/2020

Idaho

Revised the contact information and modified the information for the Expansion and Addition or Deletions to Lines of Business applications.

01/09/2020

Hawaii

The following sections were updated: State Specific Information; Uniform Certificate of Authority Applications; and Corporate Amendment Applications.

01/09/2020

Georgia

The GID-7 requirements were updated to read as “Effective 01-01-2020 the GID-7 is no longer required if a copy of the domiciliary states retaliatory information (located on the UCAA website) is attached.   

01/09/2020

Connecticut

Updated the website address for the Office of the Secretary of State

01/09/2020

California

Updated the address for the Workers’ Compensation Insurance Rating Bureau

01/09/2020

Tennessee

Added the following sentence “Except for applicable fee(s), expansion and corporate amendment applications should be filed in their entirety in electronic format only (no hardcopy) using the NAIC/UCAA Electronic Application, which is available on the NAIC’s website: https://www.naic.org/industry_ucaa.htm.”

12/15/2019

Kansas

Added the following sentence “Effective July 1, 2019, all Expansion and Corporate Amendment Applications must be submitted using the NAIC UCAA Electronic Application, which is available on the NAIC's website: https://www.naic.org/industry_ucaa.htm.” Deleted the following reference from paragraph 7 “The Consent should be executed with original signatures by the President and Secretary and should reflect the date they signed it. The original Consent should be submitted in a printed format.” and “in a printed format” from paragraph 8.

04/18/2019

Idaho

Added language for Expansion and Corporate Amendment Adding Lines of Business applications that policy forms must be submitted when amending the certificate of authority to add the disability or life line of business.

02/15/2019

Texas

Updated link in the “Adding a Line” section from http://www.helpinsure.com/auto/documents/TXSureUserGuide.pdf to http://www.helpinsure.com/auto/documents/userguidev7.pdf

02/15/2019

Ohio

Updated the state specific information to reflect the requirement changes in “wet” signatures. Wet signatures are only required for the biographical affidavit.

02/08/2019

Georgia

Updated the hyperlink to the Georgia state specific forms to https://www.oci.ga.gov/Insurers/Application%20Process.aspx

02/05/2019

Washington

Added the following language “Do not submit payment with the expansion application. We will separately request payment prior to the issuance of certificate. See the Retaliatory Fee chart for corporate amendment application fees.”

01/14/2019

Texas

Updated website link under Legal References and Other State-Specific Information; Added additional information to the Primary Applications for Redomestications to Texas, Adding a Line, and Corporate Amendment sections.

01/07/2019

Rhode Island

Updated contact information for questions and the registration of other company types.

01/07/2019

Idaho

Updated the website links under the Legal References and the Industrial Commission.

01/07/2019

Nevada

Added requirement for address changes to be filed through the Nevada electronic portal at http://doi.nv.gov/Insurers/

05/17/2018

Connecticut

Updated the seasoning requirements from 3 years to 2 years based on Department policy

05/10/2018

South Dakota

A new link to the SD webpage was added: http://dlr.sd.gov/insurance/companies/company_licensing.aspx

04/23/2018

Wyoming

Updated the website link under Legal References to http://doi.wyo.gov; updated the Reports of Examination section from 36 months to 60 months; added reference “(updated as of 3-9-18)” in the Seasoning Requirements section; and removed “Chapter 26 – Farm Mutual Property Insurers” from the Requirements for Wyoming Domestic Insurance Companies.

03/22/2018