These instructions should be followed by insurance companies who have never filed with the SVO before or non-insurance companies who are, for the first time, filing on behalf of an insurance company client (filing agents).

Insurance Companies

1. Request the Purposes & Procedures Manual of the NAIC Securities Valuation Office from the NAIC Insurance Products & Services Division (816.783.8300). You will be billed for this publication.
2. You will need to file any security that you own that has not already been filed by another insurance company with certain exceptions as described in the P&P Manual.
3. Securities are filed with the Securities Valuation Office through VISION
4. You will need a User ID which you can get from the NAIC Help Desk at 816.783.8500.
5. Once you receive your ID and gain access to VISION, you will navigate through a series of screens applicable to the type of security you wish to file with the SVO.

Non-insurance companies filing on behalf of an insurance company client (filing agents)

In addition to the instructions outlined above, filing agents have another step they must follow before they can file for their insurance company clients.

Each insurance company client must submit a letter on its own letterhead authorizing the filing agent to file on its behalf. Address the letter as shown below and then e-mail a PDF of it to SVOInquirydesk@naic.org

The NAIC Help Desk will not issue an ID until this letter is on file with the SVO.

Sample TPA Letter