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Agents and Brokers

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Cybersecurity

All entities and persons regulated or licensed by the New York State Department of Financial Services are required to file various cybersecurity notices to the Superintendent. Visit the Cybersecurity Resource Center to learn more.

Consent to Engage in Business

The Omnibus Crime Bill disqualifies anyone convicted of a criminal felony involving dishonesty or a breach of trust or anyone who has been convicted of an offense under this section from employment in the insurance industry. This ban may be removed if approval is given by the Superintendent for the individual to remain or become employed in the insurance industry. This request can be made by completing the Application for Written Consent to Engage in the Business of Insurance.

Satellite Office

Insurance Law requires that each place of business established by an individual, corporation, partnership or limited liability company established by a licensee must be supervised by one or more persons licensed to do the kinds of business being transacted in that office. Written notice shall be given to the Superintendent of any Satellite office and the licensed designated person(s)responsible for each satellite office via the Satellite Office Form (PDF) within 15 days following the establishment of a new location, change in address of an existing location or replacement of a designated person.

Certification

Certifications for a resident New York licensee are available to Individual licensees, licensees with a TBA, and currently licensed entities via the DFS Portal Letter of Certification application. Certifications processed via the DFS Portal may be immediately printed for use. Please read the system requirements and instructions carefully.

Letter of Clearance

A Letter of Clearance (PDF) may be required when a licensee moves from New York to another state and wants to become licensed in that state.

Education Providers and Monitors

If you are a Continuing Education Provider or Exam Monitor looking for  Resources related to registration, renewals or filings please visit the Insurance Education Provider section of our website.