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Compliance Checklists and Filing Guidance

Filing Guidance Notices

Checklists have been developed to assist you in ensuring that policy forms are in compliance with applicable statutes, regulations and bulletins.

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 either on (1) the checklist; (2) within section 21 of the UTD (paper filings); or (3) within the Filing Description field of the SERFF system (electronic filings).

Select the appropriate checklist for the product being filed.

Table of Contents

Property and Casualty Filing Guidance Notices

Life and Annuity

Accident and Sickness

Health

Workers Compensation

Compliance Checklists - Policy Form Review Unit

Compliance Checklists - Additional State Rating Bureau Checklists

Compliance Checklists - Managed Care

Compliance Checklists - Purchasing Groups and Risk Retention Groups

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