Regulation 60

Notices, Filings & Forms

Unless noted otherwise, the following items are in PDF format.

• Regulation 60 Procedures Filing Guidance (05/31/2022)
• SERFF Filing Instructions for Reg 60 Submissions (html - updated 07/25/2019)
• Third Amendment to Regulation 60 (to be 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)
    (Department alternate forms that may be used if companies do not change their 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

Unless noted otherwise, the following items are in HTML/page format. 

• Unnecessary Requirements Placed On Replacing Insurers By Replaced Insurers
• Circular Letters and General Counsel Opinions
• Circular Letter #5 (2006): Regulation No. 60 Electronic Reporting
  • Regulation No. 60 Reporting Form (Excel)
  • 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