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Filing Guidance


Filing Guidance

Filing GuidanceUpdated Date
(if applicable)
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
Filing Guidance for Policy Forms Referencing MIB, Inc.2022-03-29
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
Guidance Regarding Regulation 195 – SERFF Required for Policy Form, Rate, and Compensation Filings made to the Life Bureau2019-12-05

Regulation 187

Status Inquiry Guidance Note 8-16-192019-08-16
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Filing Guidance for Changes to Sections 1113(a)(1)(D) and 3230 Withdrawn, Superseded by Regulation 143 (11 NYCRR Part 41) as of 11/27/20192017-12-20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
General SERFF Guidelines for Form Filings2017-01-19

Circular Letter No. 6 (2004)

Guidance for Filing Qualified Longevity Annuity Contracts (QLAC) 2015-06-24
Guidelines For The Preparation Of Plans Of Operation For Separate Accounts2014-04
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
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Insurance Law §1113(a)(1)(E) Authorizing the Acceleration of Death Benefits When an Insured Resides in a Nursing Home Withdrawn, Superseded by Regulation 143 (11 NYCRR Part 41) as of 11/27/20192011-04-08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
Guidance for Filings made to comply with Supplement No. 1 to Circular Letter 27 (2008)2009-12-09
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

Equity Index Annuities




Guidance for Readability Requirements – Electronic Version2008-01-15
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

Variable Material

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
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