Acquisition/Merger/Disclaimer of Control/Background Investigation Reports

Acquisition/Merger/Disclaimer of Control Applications pursuant to Insurance Law Article 15 or 71 or regulations promulgated thereunder shall be submitted via the secure DFS portal below.

The secure DFS portal shall also be used for the submission of background investigation reports regarding the following:

• Officers, directors, and any controlling persons as part of a domestic primary, redomestication, or corporate amendment application.
• Newly appointed officers and directors.
• Officers, directors, and any controlling persons acquiring control of a domestic insurance company.
• Officers, directors, and any controlling persons of non-domestic licensure (expansion) application.

This secure DFS portal should not be used by consumers, agents, brokers or adjusters. If a submission is not an acquisition, merger, disclaimer of control, or background investigation report and it is filed through this portal, it will not receive a response.

To submit a consumer complaint, please use the Consumer Complaint Form.

Insurance agent, broker, and adjuster licensing questions, email [email protected].

DFS Portal

To access the Acquisition/Merger/Disclaimer of Control Application/Background Investigation Reports, select the button below (You may need to disable "pop-up" prevention applications)

DFS Portal

Additional Requirements and Restrictions

Hard Copies

Certain documents with original signatures must be submitted in hard copy. After receiving a submission, an examiner will contact the submitting company with a list of documents that must be submitted in hard copy with original signatures.

The Department reserves the right to request hard copies of any electronic submissions.