Regulation 60

Regulation 60 Notices, Filings & Forms

• Regulation 60 Procedures Filing Guidance (05/31/2022)
• SERFF Filing Instructions for Reg 60 Submissions (Updated 07/25/2019)
• Third Amendment to Regulation 60 (in effect after 04/21/2015)
  • Appendix 10A | Appendix 10B | Appendix 10C | Appendix 11
    (promulgated with the Third Amendment to Regulation 60)
  • Appendix 10A (Alternate 1) | Appendix 10B (Alternate 1) | Appendix 10C (Alternate 1) | Appendix 11 (Alternate 1)
    (Alternate forms for use if companies do not change procedures as a result of the Third Amendment)
  • Disclosure Statement Definitions and Completion Instructions for Appendix 10A and Appendix 10A (Alternate 1)
  • Annuity Disclosure Statement Definitions and Completion Instructions for Appendix 10B and Appendix 10B (Alternate 1)

LICONY Disclosure Statements

Approved LICONY forms that may be used in lieu of the forms promulgated under Regulation 60):

• LICONY Appendix 10A
• LICONY Appendix 10B (4/11/2019)
• LICONY Appendix 10A-1

Related Opinions, CLs, and Other Resources

• September 24, 2007 Unnecessary Requirements Placed on Replacing Insurers by Replaced Insurers
• Circular Letters and Related Opinions
• Circular Letter #5 (2006): Regulation No. 60 Electronic Reporting
  • Regulation No. 60 Reporting Form (Excel format)
    NOTE: Due to compatibility issues with Microsoft Edge, download the file or use a different browser.
  • Reporting Instructions
• Circular Letter #6 (2006): Contact Information for Replacement Notification and Disclosure Statements
  • Contact Look-up
  • Contact Change Form
  • Instructions for the Contact Change Form