Regulation 60 Notices, Filings & Forms

• Regulation 60 Procedures Filing Guidance (12/13/2024)
• Regulation No. 60 Reporting Form (Excel format)
• Reporting Instructions
• 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
  • Appendix 10A (Alternate 1) | Appendix 10B (Alternate 1) | Appendix 10C (Alternate 1) | Appendix 11 (Alternate 1)
  • 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)
• Regulation 60 Life Companies Contacts Look-up
• Contact Change Form
• Instructions for the Contact Change Form

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
• LICONY Appendix 10A-1

Related Opinions, CLs, and Other Resources

• Unnecessary Requirements Placed on Replacing Insurers by Replaced Insurers (September 24, 2007)
• Circular Letter #5: Regulation No. 60 Electronic Reporting (March 24, 2006)
• Circular Letter #6 (2006): Contact Information for Replacement Notification and Disclosure Statements (March 24, 2006 )

Regulation 60 Circular Letters and Opinions

Circular Letters

DFS Office of General Counsel Opinions