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Recent Developments

DescriptionDate PostedLinks

Final Adoptions of Insurance Regulations:

  1. Final Adoption of Regulation 203 (11 NYCRR 82) (New) Enterprise Risk Management And Own Risk And Solvency Assessment;
  2. Final Adoption of the First Amendment to Regulation 128 (11 NYCRR 97) Market Value Separate Accounts Funding Guaranteed Benefits; Separate Account Operations And Reserve Requirements

Final Insurance Regulations

Emergency Insurance Regulations:

  1. Emergency Adoption of the Third Amendment to Regulation 85 (11 NYCRR 136) Public Retirement Systems;
  2. Emergency Adoption of the Fourteenth Amendment to Regulation 41 (11 NYCRR 27) Excess Line Placements Governing Standards

Emergency Insurance Regulations

Proposed Insurance Regulations:

  1. Consolidated Proposal Amending Regulations 9, 18 and 29 (11 NYCRR 20); Regulation 87 (11 NYCRR 29); Regulation 194 (11 NYCRR 30); and Regulation 125 (11 NYCRR 24) and Adding New Regulation 206 (11 NYCRR 35)
    Title Insurance: Title Insurance Agents, Afilliated Relationships, And Required Disclosures, and
    Brokers And Agents – General
    Special Prohibitions
    Producer Compensation Transparency
    Requirements Pertaining To The Location Of An Insurance Agent Or Broker At Each Place Of Insurance Business: Reporting Requirements;
  2. Proposed Sixth Amendment to Regulation 68-D ( 11 NYCRR 65)Arbitration;
  3. Revised Proposed Fourteenth Amendment to Regulation 41 (11 NYCRR 27) Excess Line Placements Governing Standards;
  4. Proposed Sixth Amendment to Regulation 126 (11 NYCRR 95) Regulations Governing An Acturial Opinion And Memorandum
07/23/2014 Proposed Insurance Regulations

Proposed Banking Regulations:

Proposed Revised Part 420 of the Superintendent's Regulations and Supervisory Procedure MB 107 and the Repeal of Supervisory Procedure MB 108 (Mortgage Loan Originators).

07/23/2014 Proposed Banking Regulations

Emergency Banking Regulations:

  1. Emergency Adoption of Amendments to Part 301 of the Superintendent's Regulations (Security at Automated Teller Facilities);
  2. Emergency Adoption of Part 117 for the Superintendent's Regulations (Lending Limits: Inclusion of Credit Exposure Arising from Derivative Transactions)
07/23/2014 Emergency Banking Regulations

Health Insurance Checklists, Model Language, Model Notices & Guidance:

  • New - Model Notices
07/22/2014 Health Insurers information

Health Insurance Checklists, Model Language & Guidance:

  • New - Uniform Modification Policy Changes Guidance
07/17/2014 Health Insurers information

Final Adoptions of Banking Regulation: Adoption of New Part 83 of the General Regulations of the Superintendent (Shared Appreciation Modification Mortgages)


Final Adoptions

2013 Department of Financial Services Annual Report to the Governor and Legislature 07/03/2014 Annual Reports
PreLicensing Education Provider Program: Updated Insurance Exam Content Topic Locator documents 07/02/2014 PreLicensing Education Provider Program

Department of Financial Services Regulatory Agenda - June 10, 2014

06/16/2014 Regulatory Agenda

Health Insurers Filing Resources: 2015 Prior Approval NYSOH & Outside NYSOH Rate Checklists and Exhibits

06/12/2014 Filing Resources
Insurance Circular Letter No. 5: "Impact of Mental Health Parity and Addiction Equity Act of 2008 (“MHPAEA”), Affordable Care Act (“ACA”), and the MHPAEA Final Rule on Mental Health and Substance Use Disorder Benefits in New York’s Health Insurance Market." 06/04/2014 Insurance Circular Letters - 2014

Medicare Supplement Insurance Premium Rates for June 2014

06/02/2014 Medicare Supplement Insurance

Health Insurers - Filing Resources:

  • Model Language Amendment for Mental Health Care and Substance Use Services (to be used for contract and policy years beginning on or after July 1, 2014)
  • Student Health Plan Model Language (for all student accident and health coverage and coverage issued pursuant to Insurance Law §1124)
05/30/2014 Filing Resources
Insurance Circular Letter No. 4: "Insurance Telematics and Usage-Based Auto Insurance" 05/27/2014 Insurance Circular Letters - 2014
Consultant Applications Being Accepted 05/21/2014 Announcement

Health Insurers - Filing Resources - Updates:

  • Product Filing Guidance
  • QHP Binder Filing Instructions in SERFF
  • QDP Binder Filing Instructions in SERFF
05/20/2014 Filing Resources
Life Insurers: Individual Fixed and/or Variable Deferred Annuity Outline 05/12/2014 Filing Guidance
Life Insurers: Guidelines For The Preparation Of Plans Of Operation For Separate Accounts 05/05/2014 Filing Guidance

Automobile Insurance Policies and the 2% Rule

05/05/2014 Miscellaneous Reports
Procurement - Current Opportunities: C000409 Actuarial Consultant - Medical Malpractice Insurance 05/02/2014 Current Opportunities

DFS Annual Reports:

  • 2013 Annual Financial Fraud and Consumer Protection Division Report
  • 2013 Annual Report on Health Insurance Fraud
  • Insurance Agent Licensing Demographics 2013
04/30/2014 Annual Reports

Filed Examination Reports (3 Property Reports; 5 Life Reports; 1 Health)



Health Reports

Life Reports

Property Reports

Information for Insurers:

  • Holding Company and Parent Corporation Filings
  • Enterprise Risk Reporting

Holding ... Filings

Enterprise ... Reporting

Disaster Preparedness and Response Insurance Circular Letters for 2014:

  • No. 1 (2014): Property
  • No. 2 (2014): Life
  • No. 3 (2014): Health

Insurance Circular Letters

Disaster Preparedness and Response - Circular Letter Documents

Consultant Applications Being Accepted



Careers with DFS - Vacancy Announcements:

  • Inspector (ATM)
03/11/2014 Careers with DFS

Health Insurance Premiums:

  1. Mutual of Omaha Insurance Company: one Requested Rate Application filing
03/07/2014 Rate Applications by Company (Portal)