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Filing Guidance

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Filing Guidance

All status inquiries on pending policy form filings should be submitted to [email protected]

Filing GuidanceIssued/Updated
Guidelines for Gift Annuity Organizations for 2024 - Calculation of Annuity Reserves2024-01-17
Maximum Reserve Valuation Interest Rates for Charitable Gift Annuities (Gift 2)2024-01-17
Present Value of Immediate Annuities and Maximum Incomes per $1000 Gift Allowed by Section 1110 for Issues of 1/23/24+ (Gift 3)2024-01-17
Present Value of Immediate Annuities and Maximum Incomes per $1000 Gift Allowed by Section 1110 for Issues 1/1/20-1/22/24 (Gift 4)2024-01-17
Filing Guidance related to Insurance Law Section 1110 Regarding Maximum Charitable Gift Annuity Income Rates2023-12-14
Filing Guidance related to Insurance Law §§ 2606(a)(1) and 4224(a)(1)2023-07-17
Filing Guidance for Withdrawal Rates for Guaranteed Living Withdrawal Benefits in Annuities2023-07-12
Filing Guidance for Minimum Cap Rates for Non-Guaranteed Index Annuities Under §50-2.9(d)(5) of Insurance Regulation 472023-07-12
Filing Guidance for Interest Rate Changes in Insurance Law §4221 (n-1)2023-07-12
Filing Guidance for Charitable Annuity Forms funded with IRA Distributions2023-03-22
Important Notice Regarding Reserves for Gift Annuities2023-01-05
Supplemental Guidance on Equity Index Annuities2022-06-01
Filing Guidance for Policy Forms Referencing MIB, Inc.2022-03-29
Guidance for Filing Life Settlement Intermediary Registration Applications in Accordance with NY Insurance Law § 78042021-09-22
Variable universal life policy (VUL) Illustration and Preliminary Information Guidance2021-03-09
Nonforfeiture Interest Rate Filing Guidance2021-02-19
Frequently Asked Questions Regarding Amendment No. 1 to Regulation 2132020-07-21
Guidance Regarding Expedited Approval of SECURE Act of 2019 Submissions2020-05-08
Regulation 187 FAQs Regarding First Amendment of Regulation 1872020-02-12
Guidance Regarding Regulation 195 – SERFF Required for Policy Form, Rate, and Compensation Filings2019-12-05
Regulation 187 Supplemental Guidance Regarding Section 224.6(h) of Regulation 1872019-09-11
Regulation 187 FAQs Regarding Compliance with 224.4(f) of Reg. 1872019-09-06
Guidance on Submitting Status Inquiries About Pending Policy Form Filings2019-08-16
Supplemental Filing Requirements for Using the 2017 CSO Mortality Table2019-08-16
Regulation 74 - Annual Certification Guidance2019-07-17
Procedural Guidance for Insurers Filing Disclosure Pursuant to Sections 224.4(m) and 224.6(h) of Regulation 187 or for adding Producer Attestations or Certifications to Application Policy Forms2019-05-29
Filing Guidance for Regulation 210 Annual Disclosure of Adverse Changes2019-04-18
Supplemental Guidance for Change in Annuitization Start Date under Guaranteed Paid-up Deferred Annuities2018-05-16
Filing Guidance for Changes to Sections 1113(a)(1)(D) and 3230 Withdrawn, Superseded by Regulation 143 (11 NYCRR Part 41) as of 11/27/20192017-12-20
Guidelines for Plan of Operations and Actuarial Projections for License Applications and Changes in Corporate Structure (PDF)2017-05-12
Filing Requirements for Using the 2017 CSO Mortality Table for Nonforfeiture Purposes2017-05-02
General SERFF Guidelines for Form Filings2017-01-19
Guidance for Filing Qualified Longevity Annuity Contracts (QLAC)2015-06-24
Guidance for the Filing of Life Settlement Forms in Accordance with Sections 7806 and 7811 of the Insurance Law2014-09-22
Guidelines for the Preparation of Plans of Operation for Separate Accounts2014-04-01
Guidance for filings in response to the withdrawal of Supplement No 1 of Circular Letter 27 (2008)2013-08-02
Guidance for Over Loan Protection Benefits2013-07-29
Sampling of Files submitted under Circular Letter No. 6 (2004) - Certification Procedure2013-03-12
Procedural Checklist to Avoid Common Submission Errors when Filing a Memorandum of Variable Material2012-07-09
Filing Insurance Policy Forms in Accordance with Insurance Law §1113(a)(1)(E) Authorizing the Acceleration of Death Benefits When an Insured Resides in a Nursing Home Withdrawn, Superseded by Regulation 143 (11 NYCRR Part 41) as of 11/27/20192011-04-08
Filing Guidance on Changes in the Investment Options of a Separate Account for Group and Individual Variable Products2010-11-01
Filing Guidance on the use of Variable Material for Individual Annuity Contracts and Life Insurance Policy Forms2010-11-01
Guidance for Filings made to comply with Supplement No. 1 to Circular Letter 27 (2008)2009-12-09
Guaranteed Separate Account Products Utilizing One or More Non-Pooled Separate Accounts or Unallocated Group Annuity or Funding Agreement Products with an Initial Deposit in Excess of $50 million2009-08-12
Guidance for Guaranteed Paid-up Deferred Annuities2009-03-13
Guidance on Dividend Disclosure under 3209(b)(2)(C) for Equity Indexed Annuity Contracts and Life Insurance Policies2008-10-31
Guidance for Illustrations of Variable Annuity Contracts2008-10-16
Guidance for Life Insurance Policy Illustrations2008-08-22
Filing Guidance on Change to Section 4223 of the Insurance Law (Equity Index Annuities)2008-07-17
Guidance for Readability Requirements – Electronic Version2008-01-15
Equity-Index Products - 2007 Guidance for Product Design2007-10-31
Filings for First Amendment to Regulation 149 (PDF)2007-11-20
Filing Guidance for Combination Life and Accident & Health Submissions (PDF)2007-11-15
Maturity Date of Whole Life Policies (PDF)2007-05-01
Section 4228(h) Statements of Selfsupport for Multiple Term Life Insurance Plans2006-07-28
Procedure and Filing Guidance for Approval of Memorandum of Variable Material (PDF)2005-09-16
Filing Guidance For Making Address Changes, Name Changes and Merger/Name Changes2005-09-02
Annuity Nonforfeiture Interest Rate - Filing Guidance on Changes to Section 4223(c)(2)(C) of the Insurance Law2005-03-23
Filing Requirements for Use of the 2001 CSO Mortality Table for Nonforfeiture Purposes2005-01-01
Certification Procedure Under Circular Letter No. 62004-08-09
Fixed Account Availability Restrictions2003-12-04
Filing Guidance on The Recent Changes to Section 4221 (o)(1)(F) of The Insurance Law (Term Insurance)2003-01-06
War Exclusions and Restrictions2003-10-17