New York Codes, Rules and Regulations
Title 11 - INSURANCE
Chapter I - GENERAL PROVISIONS
Part 6 - Electronic Filings and Submissions
Section 6.2 - Required electronic filings and submissions
Universal Citation: 11 NY Comp Codes Rules and Regs ยง 6.2
Current through Register Vol. 46, No. 12, March 20, 2024
(a) Except where the Insurance Law requires a filer to submit a hard copy, a filer shall submit to the superintendent the following electronically, in a form and manner acceptable to the superintendent:
(1) Insurance Fraud
Prevention Plans and Reports. A report required by Insurance Law section
405(a) and a fraud
prevention plan, subsequent plan amendments, and annual reports required by
Insurance Law section
409(a), (d), and
(g).
(2) Rates and Forms. Through
SERFF, a rate, rating plan, rating rule, rating manual, rating classification,
territory, or insurance contract or policy form, except when the filer is a
charitable annuity society or assessment cooperative but including when the
filer is a student health plan certified pursuant to Insurance Law section
1124.
(3) Compensation Schedules. Through SERFF, a
schedule of rates of commissions, compensation and other fees or allowances to
a gents and brokers as required by Insurance Law section
4216(e) and sections
185.9 and
187.8 of this Title.
(4) Annual and Quarterly Statements. An
annual financial statement and the required independently audited financial
statement of a student health plan certified pursuant to Insurance Law section
1124 or municipal cooperative health
benefit plan certified pursuant to Insurance Law Article 47 and a quarterly
financial statement of such a municipal cooperative health benefit plan. In
addition, the filer also shall file the statements as hard copies.
(5) Risk Retention and Purchasing Group
Documents. The information required by Insurance Law sections
5903,
5904, and
5908(a) and (d).
(6) Holding Company and Parent Corporation
Applications an d Reports. The following holding company and parent corporation
applications and reports:
(i) an application
for acquisition or retention of control or a notice of proposed divestiture of
control submitted pursuant to Insurance Law section
1506 and section
80-1.6 of this Title;
(ii) an application for a determination of
non-control submitted pursuant to Insurance Law section
1501(c) and section
80-1.3 of this Title;
(iii) a report submitted pursuant to section
80-1.4 of
this Title and 10 NYCRR 98-1.1.16(e);
(iv)
a request for approval of a transaction and a notice of a
proposed transaction submitted pursuant to Insurance Law section
1505(c) and (d) and
section 80-1.5 of this Title or 10 NYCRR
98 -1.10(c) and 10 NYCRR 98-1.11(b);
(v) notice to acquire, divest, invest in, or
organize pursuant to Insurance Law section
1603,
1701,
1705 or
1710 or section 81-1. 1 of this
Title;
(vi) a registration and any
amendment thereto submitted pursuant to Insurance Law section
1604(a) or
1717(a);
(vii) notification of a transaction submitted
pursuant to Insurance Law section
1608(e) or
1712(b);
(viii) a report submitted pursuant to section
81-1.2 of
this Title;
(ix) a request for a
waiver submitted pursuant to section
81-1.3
or
81-2.10
of this Title;
(x) a report
submitted pursuant to Insurance Law section
1708 and section
81-2.4 of this Title; and (xi) a
report submitted pursuant to section
81-2.3
or
81-2.5
of this Title.
(7)
Agreement for an advance or borrowing; surplus note or principal or interest
payments. An agreement submitted for approval pursuant to Insurance Law section
1307(d) and an application
for approval of the issuance of a surplus note or principal and interest
payments pursuant to Insurance Law section
1307.
(8) Dividend distributions. An application or
notice of intent to declare and distribute a dividend when required to notify
the superintendent.
(9) Medicare
supplement insurance advertising filing. Through SERFF, a filing made pursuant
to section
215.5(d)
of this Title.
(10) Free trade zone
report. A financial report submitted pursuant to section
16.7(a)
of this Title.
(11) Pharmacy benefit
manager documents. The information and documents required by Insurance Law
Article 29, Public Health Law section 280-a and Chapter XXI of this
Title.
(b)
(1) An insurer shall file electronically with
the NAIC:
(i) its annual and quarterly
statements pursuant to Insurance Law section
307 or
308 or
the Public Health Law and regulations promulgated thereunder;
(ii) its New York supplement or New York data
requirement, with regard to health maintenance organizations; and
(iii) its audited financial
statement.
(2) The
electronic submission shall include all of the schedules, supplements, and
exhibits, except for the NAIC Supplemental Compensation Exhibit.
(3) An insurer that files a statement,
schedule, supplement, or exhibit electronically pursuant to this subdivision
also shall file a hard copy with the superintendent, provided, however, that a
foreign insurer, other than a life insurance company or accident and health
insurance company, need not file a hard copy of a statement, schedule,
supplement, or exhibit other than the New York supplement jurat page containing
the original signature of the insurer's principal officers and the notary
administering the oath.
(c) Notwithstanding any provision of this section, a filer shall submit to the superintendent a hard copy of all notarized documents and witness statements.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.