The chart below identifies each state's requirements for a surplus lines carrier for corporate changes.
Last Update: 03/14/2023
Updates to the information will be noted with a "*" next to the state name and edits will be italicized and bolded.
| State | Statute/Regulation | Does state accept UCAA corporate amendment for surplus line carrier corporate changes? | Additional Requirements | Fees | State Contact |
|---|---|---|---|---|---|
| AL | No | Submit an Annual Audit and Examination Fee (Form PR) through OPTins at http://www.optins.org/. Import Surplus Lines (Unauthorized) Insurer Policy Listing into the online ALDOI Surplus Line System at https://aldoi.gov/SurplusLineWeb/UnauthCoInfoImport.aspx. View SURPLUS LINES (UNAUTHORIZED) INSURANCE COMPANIES FILING REQUIREMENTS at https://aldoi.gov/PDF/Companies/SurplusInstructionsFilingReq.pdf | Andrea J. Brown Andrea.Brown@insurance.alabama.gov | ||
| AK | AS 21.31.010-21.31.900, AS 21.09.245 | Yes | Jeffery Bethel jeffery.bethel@alaska.gov | ||
| AR | Ark. Code Ann. 23-65-305 | Yes |
Insurer must be authorized to write in its domiciliary jurisdiction, and have Capital and Surplus or its equivalent under the laws of its domiciliary jurisdiction, which equals the greater of the minimum capital and surplus requirement under the law of its home state, or $15,000,000. To be added to our list of eligible surplus lines insurers we ask that you provide the following : Notice of Intent Letter (This is simply a letter stating that you intend to write in our state under the NRRA) addressed to the Commissioner, which includes the attached documentation: Certificate of Compliance from the surplus line insurer’s state of domicile. Copy of most recent financial statement filed with its state of domicile. Completed Uniform Consent to Service of Process Form (UCAA Form 12) - surplus line insurers do not have to appoint a resident agent but provide the full name and address where a service of process is to be forwarded on Exhibit B of the form. |
Foreign Surplus Lines insurers no longer have to file any financial statement filings, renewal fees or state specific filings with our state since the Nonadmitted and Reinsurance Reform Act of 2010 (NRRA). |
Kimberly S. Johnson |
| AZ | ARS 20-413 | No | Initial certification forms at https://difi.az.gov/insurers/licensingregistration/surplus-lines-insurer | None | Erica Bowsher, Chief Financial Compliance Officer erica.bowsher@difi.az.gov |
| *CA |
California Insurance Code sections 1765.1 and 1765.2 |
No |
Original LASLI applications, annual renewals and updates may now be made electronically through the LASLI portal - https://lasliportal.insurance.ca.gov/ |
$6724 |
CAB-SF-Intake@insurance.ca.gov Surplus Lines Association at (415) 434-4900 |
| CO | Yes | None | Renee Sanchez Renee.Sanchez@state.co.us |
||
| CT | Sec. 38a-271a | Yes | None | $40 | cid.financial@ct.gov 860-297-3800 |
| DE | 18 Del. C. § 701 | Yes | Foreign Corporate Amendment: Refer to 18 Del. C. § 701 $150 to add or delete lines of business $150 issuance fee for new Certificate of Authority (Name Change, Statutory Address Change, Redomestication of Foreign Insurer) $10 filing amended Articles of Incorporation $10 filing amended by-laws Fees are subject to retaliatory provision. |
UCAA Corporate Amendments should be submitted electronically, and the application fee (check) should be mailed with a cover letter and application number. Go to our webpage at https://insurance.delaware.gov/divisions/berg/ or contact us at BERG@Delaware.gov with any questions. |
|
| DC | No License issued to a Surplus line insurer | No | N/A | N/A | N/A |
| FL | Contact state for requirements. | ||||
| GA | O.C.G.A.§ 33-5-20 | Yes | None | See fee schedule: O.C.G.A. § 33-8-1 | Scott Sanders ssanders@oci.ga.gov |
| HI | Contact state for requirements. | ||||
| ID | Title 41 Ch 12 & IDAPA 18.06.06 §41-1214 |
Yes | Certificate of Compliance, Letter of Intent, $15 mil in Capital & Surplus. | $500.00 | Candice Pratt candice.pratt@doi.idaho.gov Michele Munoz |
| IL | 215 ILCS 5/445 and Rule 2701 | No, Domestic surplus lines insurers would file any corporate changes directly to the Department and would not utilize the UCAA corporate amendment and foreign surplus lines insurers are not licensed in IL so no need to file anything. | For domestic surplus lines carriers only-Amended Articles - $200. Amended CofA $50. Amended bylaws $50. |
Marcy Savage at marcy.savage@illinois.gov or 217-524-0016 | |
| IN | N/A Indiana is a producer state. | Yes, as a courtesy filing. | N/A |
Annette Gunter |
|
| IA | Yes | Contact Iowa Insurance Division. | company.licensing@iid.iowa.gov | ||
| KS | Kansas Statutes Annotated (K.S.A.) 40-246b and 40-246c, provide that insurers may offer fire insurance coverages enumerated in K.S.A. 40-901, casualty insurance coverage enumerated in K.S.A. 40-1102, and/or reinsurance if such coverages are not readily obtainable in the admitted insurance market. | Yes |
To write surplus lines business in Kansas, in accordance with K.S.A. 40-246e, an insurer domiciled in the United States must first: |
$200 | Deb Dalton Public Service Administrator Rate and Form Compliance Division deborah.dalton@ks.gov 785-296-7844 |
| KY | Contact state for requirements. | ||||
| LA | La. R.S. 22:436 | Yes | $1,050.00 | Tangela Byrd, Director Company Licensing Division (225) 342-5972 tangela.byrd@ldi.la.gov | |
| ME | Contact state for requirements. | ||||
| MD | Contact state for requirements. | ||||
| MA | Contact state for requirements. | ||||
| MI | Chapter 19 of the Michigan Insurance Code | New applications: Company should complete Application for Verifying Eligibility as Surplus Lines Insurer found on DIFS website at www.michigan.gov/difs. Corporate amendments: notice and domiciliary approval should be e-mailed to Application Coordinator (corporate amendment application not accepted). | Applicant company must meet capital and surplus requirement of $15 million and must be authorized in state of domicile to write lines of business the company will write on a surplus lines basis in Michigan. | $500 | Linda Martin Application Coordinator 517-284-8756 martinl@michigan.gov |
| MN | Yes, preferred to be filed electronically for all, if filed in hardcopy, must use UCAA form for appropriate amendment. | Surplus Lines Application Fee - $500. Mail payment with copy of (Minnesota Surplus Lines Checklist) | Initial Application 500 All other amendments, no fee to file, however, $100 to update articles/$75 to update bylaws. |
Jenn Gagner | |
| MS | MCA 83-21-17 | Yes | N/A | Initial Application: $500 | compliance@mid.ms.gov |
| MO | Chapter 384, RSMo | Yes | Form 12 may be used in lieu of the state-specific form. | None | Kelly Hopper kelly.hopper@insurance.mo.gov 573-751-2711 |
| MT | MCA Title 33 Chapter 2 Part 3 | Yes | None | None | Tavin Mogus (406) 444-3469 tmogus@mt.gov |
| NE | Neb Rev Stat 44-5501 to 44-5515 | N/A | N/A | N/A | Kristy Hadden kristy.hadden@nebraska.gov |
| NV | Contact state for requirements. | ||||
| NH | RSA 405:25 | Only need Notification | Need notification | None | Linda.M.Zalinskie@INS.NH.GOV |
| NJ | No, N/A | ||||
| NM | 59A-14 | Yes |
Victoria A. Baca Ursula Almada |
||
| NY | None | N/A | N/A | N/A | Jose Joseph |
| NC | Contact state for requirements. | ||||
| ND | N.D.C.C. § 26.1-44 | No | None | None | Company Licensing & Examinations Division 701-328-2440 colicexam@nd.gov |
| OH | Ohio Revised Code 3933 | No, must file directly. | None | None | Cameron Piatt Assistant Chief-Taxes, Admissions and Foreign Analysis Office of Risk Assessment (614) 728-1074 Cameron.Piatt@insurance.ohio.gov |
| OK | Contact state for requirements. | ||||
| OR | Contact state for requirements. | ||||
| PA | 40 P.S. §§ 991.1601 - 1626 31 Pa. Code Chapter 124 | Yes | In addition to being licensed in a domiciliary state and having $15 million in surplus, insurer must specify types of insurance to be offered in order to be added to the list of eligible surplus lines insurers. | No fee |
Monique Miller, Licensing Specialist |
| PR | Chapter 10 of the Insurance Code | Yes | Contact the Insurance Department | Contact the Insurance Department |
Mrs. Glorimar Santiago Mrs. Maria Morcelo |
| *RI | Contact State |
The company meets the minimum Capital & Surplus requirement of $15,000,000 and files the required items they are formally registered. And the Agent for Service of Process cannot be the Insurance Commissioner as required for licensed companies; the insurer must appoint an “individual” residing in Rhode Island to act in this capacity using the related form. |
|||
| SC | S.C. Code Ann. Section 38-45-10 | Yes, as long as the company has an NAIC number. | N/A | No |
Stacy Johnson |
| SD | SDCL 58-32 | Change of Address Form. | $0 | Char Squires Keller – Email: Charlene.squireskeller@state.sd.us | |
| TN | TCA §56-14 | TN will accept that method of delivery. | N/A | N/A |
Phil Adams |
| TX | TIC §981 and 28 TAC §15.301(a) | Yes | Companies seeking to be eligible for Surplus Lines must first file with the Surplus Lines Stamping Office of Texas(https://www.sltx.org/) and submit Form FIN422 with TDI. | $0 | General questions: companylicense@tdi.texas.gov Filings: clrfilings@tdi.texas.gov |
| UT | Contact state for requirements. | ||||
| VT | 8 V.S.A. Chapter 138 | No | https://dfr.vermont.gov/industry/insurance/producer-and-individual-lice… | None | DFR Company Licensing, 802-828-2470, DFR.CompLic@vermont.gov |
| VA | § 38.2-4811 | Yes | None | Gayle Henderson Office Supervisor (804) 371-9869 Gayle.Henderson@scc.virginia.gov |
|
| WA | None | ||||
| WV | WV Code §§33-12C-1 to 33-12C-15. WV Legislature Rule §§114-20-1 to 114-20-4. |
No | Requirements for any corporate change: 1) Written notice on company letterhead; and, 2) Copy of the State of Domicile's DOI Approval. |
N/A | Cristy Dunlap Financial Conditions Division cristy.s.dunlap@wv.gov |
| WI | No filing of surplus lines carrier corporate changes are required. | ||||
| WY | N/A - Woming does not license or register surplus lines insurers. | ||||