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):
- Appendix 10A | Appendix 10B | Appendix 10C | Appendix 11
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 format)
NOTE: For this form file, it is recommended to download it owing to compatibility issues using Microsoft Edge. - Reporting Instructions
- Regulation No. 60 Reporting Form (Excel format)
- Circular Letter #6 (2006): Contact Information for Replacement Notification and Disclosure Statements