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Speed to Market

  • General Guidelines for SERFF Submissions

Health Insurers

  • Circular Letter No. 9 (2004) - Electronic Filings via SERFF and Priority of Review
  • General Instructions for SERFF Filings in New York
  • Circular Letter No. 4 (2003) - "Prior Approval with Certification” Filing Procedure and Forms
  • Product Checklists and Outlines 

Life Insurers

  • Circular Letter No. 6 (2004) - Procedural Changes in the Approval Process for Life/Annuity Submissions
  • Certification Procedure Under Circular Letter No. 6 (2004)
  • SERFF Submission to the Life Bureau
  • Attachments
    • Policy Form Compliance Certification "Attachment 1" (PDF)
    • Policy Form Compliance Certification "Attachment 1" (Word)
    • Product Outlines and Checklists

Property and Casualty Insurers

  • Supplement No. 3 to Circular Letter No. 11 (1998) - Optional Procedures for the Filing of Policy Forms, Rules and Rates (dated August 21, 2000)
  • Supplement No. 5 to Circular Letter No. 11 (1998) - Procedures for the Filing of Policy Forms, Rules and Rates: Use of Review Standards Checklists (dated March 21, 2003)
  • Rate, Form, Territory, Classification and Rule Filings:
    • Not Submitted Via SERFF: General Guidelines
    • Submitted Via SERFF: General Guidelines
  • Attachments (PDF format):
    • Policy Form Compliance Certification
    • Rates and/or Rating Plan Compliance Certification
    • Master List of Review Standards Checklists and Compliance Questionnaires

Insurance Industry Questions

If you are unable to find the answer to your insurance question here, check our FAQs. If you have a question or need assistance, call (800) 342-3736 (M-F, 8:30 AM to 4:30 PM). Local calls can be made to (212) 480-6400 or (518) 474-6600.

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The Department of Financial Services supervises many different types of institutions. Supervision by DFS may entail chartering, licensing, registration requirements, examination, and more.
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