Subject Matter Listing of Agency Records
(As of March 2021)
Administration
- Budget and Procurement
- Revenue and Expenses
- Human Resources
- Training Reports
- Continuing Education Records
Capital Markets
- Financial Analysis
- Derivative Use Plans
- Examination Reports
- Licensing Applications
- Institution Files
Civil Investigations
- Investigation Files
- Litigation Files
- Legislation/Regulations/Guidance
Community and Regional Banks
- Organization/Merger/Acquisition/Restructure Applications
- Examination Reports
- New Facilities
- Institution Files
- General Files
Consumer Assistance
- Consumer Complaints
- External Appeals (of Health Care Services Denials)
- Automobile Insurance Company Complaint Ranking
- A History of Automobile Insurance Company Complaint Rankings: Beginning 2009 (Open Data NY)
- Health Insurance Company Complaint Rankings
CRA, BDD and Fair Lending
- Community Reinvestment Act – Assessments
- Community Investment Act Ratings and Summaries
- Compliance/Fair Lending Examinations
- Banking Development District Applications
Criminal Investigations
- Referrals/Complaints
- Investigation Files
- Application Files
- Inspection Files
- Fraud Prevention Plans
- Annual Special Investigation Unit (SIU) Reports
- Insurance Fraud Hotline Call Logs
- External (Training and/or Outreach) Speaking Events
Cybersecurity
- Legislation/Regulations/Guidance
- Examination Reports
- Investigation Files
- Training and/or Outreach External Speaking Events
- Licensing Applications
Discipline and Enforcement
- Stipulations
- Consent Orders
- Final Orders (Visit the Enforcement Actions section to see all disciplinary and consent orders)
Foreign and Wholesale Banks
- Organization/Merger/Acquisition/Restructure Applications
- Examination Reports
- New Facilities
- Institution Files
- General Files
Health Insurance
- Examination Reports
- Loss Ratio Reports
- Annual Financial Statements
- Accident & Health Insurance Policy Form Filings and Plan Management Binder Filings (disposed of on and after February 27, 2018) (NAIC SERFF State Filing Access website)
- Mental Health and Substance Use Disorder Parity Reports
Licensed Financial Services
- Annual Reports
- Applications
- Examination Reports and Work Papers
- Financial Statements
- Licensee Files
Insurance Licensing
- Corporate Affairs (Insurance)
- Education (Agent & Broker)
- Applications
- Licensed Insurance Agents and Brokers
- Search Who We Supervise for a list of licensed insurance agents and brokers
Life Insurance Bureau
- Examination Reports
- Annual Financial Statements
- Actuarial Information
- Rate, Rule and Form Filings (NAIC SERFF State Filing Access website)
Mortgage Banking
- Examination Reports
- Licensed Mortgage Banker Files
- Registered Mortgage Broker Files
- Mortgage Loan Originator Files
- Mortgage Loan Servicer Files
- Annual Reports
- Financial Statements
Office of General Counsel
- Opinion Files
- Court Case Files
- Legislation Files
- Litigation/Subpoenas
- Ethics
- Corporate Name Approvals
- FOIL Files
- Insurance Disciplinary and Enforcement Actions
- Insurance Receipts of Service of Process
- Insurer Demutualizations /Conversions
- Notices of Appearance (search the Project Sunlight Website)
- Project Sunlight Appearance Reporting Forms/Reports
- State Administrative Procedure Act (SAPA) Regulatory Files
Property Insurance Bureau
- Examination Reports
- Annual Financial Statements
- Market Analysis and Special Reports
- No-Fault Information
- Excess Lines (Search Who We Supervise for a list of Excess Line Brokers)
- Actuarial Information
- Service Contract Provider (Search Who We Supervise for a list of Service Contract Providers)
- Property/Casualty Rate, Rule and Form Filings (closed and submitted on and after January 1, 2010) (NAIC SERFF State Filing Access website)
Research, Innovation and Virtual Currency
- Annual Reports
- Applications
- Examination Reports and Work Papers
- Financial Statements
- Licensee Files
Student Protection Unit
- Legislation/Regulations/Guidance
- Student Loan Servicer Complaints
- Educational Materials / Printable Outreach Materials
Miscellaneous
- Agency Annual Reports
- Correspondence
- Internal Audit/Control Files
Freedom of Information Law (FOIL)
The Committee on Open Government is responsible for overseeing and advising the public about FOIL, codified as New York Public Officers Law Article 6 (Sections 84-90). More information about FOIL, and the records that are exempt from disclosure pursuant to Public Officers Law Section 87(2), are available on the website of the Committee on Open Government.