Compliance Checklists and Filing Guidance

Checklists have been developed to assist in ensuring that policy forms are in compliance with applicable statutes, regulations and bulletins. Filing Guidance Notices are intended to clarify issues and provide more detailed filing instructions. 

Please refer to the System for Electronic Rate and Form Filing (SERFF) for the current editions of Base Checklists and Supplemental Checklists. Checklists are accessible under Requirements on the Filing Rules tab and are available under their Types and Sub-Types of Insurance when creating filings.

A completed checklist is required for each form filing. A checklist is considered complete when the page and paragraph of each provision demonstrating compliance is documented. If an item on the checklist is not applicable, please provide an explanation on the checklist within the checklist component.

Property and Casualty Filing Guidance Notices

Life and Annuity

Accident and Sickness

Health

Workers Compensation

Compliance Checklists - Workers Compensation

Compliance Checklists - Managed Care

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