Quick Links and Recent Updates
- Checklist for Filings Submitted to Demonstrate Compliance with Section 4228 Agent Compensation
- 2020 Guidance on Maximum Surplus Calculation Established Under Section 4219 of the Insurance Law
Recent Updates
Filing Guidance
Reg 60, 74, and 187
- Regulation 60 Notices, Filings & Forms
- Regulation 74 Annual Filing Guidance
- Regulation 187 Filing Guidance and FAQs
Market Conduct
Life Bureau Filing Guidance Notes
Status Inquiries
All status inquiries on pending policy form filings should be submitted to [email protected]
Life and Annuity Product Outlines
All life and annuity product filings must be submitted to the Department through SERFF.
Life product outlines and guidance are provided by the Department for the sole purpose of providing general guidance to insurers when submitting life and annuity product filings in New York. Product outlines are generic in nature and may not necessarily address specific designs or features that are applicable or unique to your Company’s particular product. Compliance with the product outlines does not guarantee approval of any product filing.
Before making a product filing with the Department, review the product outline that applies to your Company’s particular product. The outlines address the filing process in general and then address the product in particular.
Annual Market Conduct Profile
The annual filing of a Market Conduct Profile by each authorized life insurer is required by the Department.
The Market Conduct Profile is submitted via the Life Market Conduct application on the DFS Portal.