Connecticut Administrative Code › Title 38a - Insurance Department › 138 - Insurance Holding Company Act › Section 38a-138-1 - Forms - general requirements

Current through July 10, 2024
(a) Sections 38a-138-1 to 38a-138-16, inclusive,
			 and the forms prescribed in the Appendixes A, B, C, D, E and F of sections 38a-138-1 to 38a-138-16, inclusive, of the Regulations of Connecticut State Agencies are
			 intended to implement the provisions of the Connecticut Insurance Holding Company
			 System Regulatory Act, sections 38a-129 to 38a-140, inclusive, of the Connecticut
			 General Statutes. Appendix A of sections 38a-138-1 to 38a-138-16, inclusive, of the
			 Regulations of Connecticut State Agencies contains "Form A" (Statement Regarding the
			 Acquisition of Control of or Merger With a Domestic Insurer); Appendix B of sections
			 38a-138-1 to 38a-138-16, inclusive, of the Regulations of Connecticut State Agencies
			 contains "Form B" (Insurance Holding Company System Annual Registration Statement);
			 Appendix C of sections 38a-138-1 to 38a-138-16, inclusive, of the Regulations of
			 Connecticut State Agencies contains "Form C" (Summary of Changes to Registration
			 Statement); Appendix D of sections 38a-138-1 to 38a-138-16, inclusive, of the
			 Regulations of Connecticut State Agencies contains "Form D" (Prior Notice of a
			 Transaction) and "Form D-1" (Prior Notice Of Dividends On Common Stock And Other
			 Distributions); Appendix E of sections 38a 138-1 to 38a-138-16, inclusive, of the
			 Regulations of Connecticut State Agencies contains "Form E" (Pre-Acquisition
			 Notification Form Regarding Potential Competitive Impact Of A Proposed Merger Or
			 Acquisition By A Non-Domiciliary Insurer Doing Business In This State Or By A
			 Domestic Insurer); and Appendix F of sections 38a-138-1 to 38a-138-16, inclusive, of
			 the Regulations of Connecticut State Agencies contains "Form F" (Enterprise Risk
			 Report). These forms are intended to be guides in the preparation of the statements
			 required by sections 38a-130, 38a-135, and 38a-136 of the Connecticut General
			 Statutes; they are not intended to be blank forms which are to be filled in. Each
			 form, when filed, shall contain the numbers and captions of all items, but the text
			 of the items may be omitted provided the answers thereto are prepared in such a
			 manner as to indicate clearly the scope and coverage of the items. All instructions,
			 whether appearing under the items of the form or elsewhere therein, are to be
			 omitted. Unless expressly provided otherwise, if any item is inapplicable or the
			 answer thereto is in the negative, an appropriate statement to that effect shall be
			 made.
(b)
(1) A complete submission of Forms A, B, C, D,
			 D-1, E, and F, including exhibits, and all other papers and documents filed as a
			 part thereof, shall be electronically filed with the Commissioner via electronic
			 mail to: CID.FinRegFilings@ct.gov. The subject field of the electronic mail and all
			 file names shall include the following information in this order and manner:
(A) Filing type (Form).
(B) NAIC Number and legal entity name, or Group
			 Number and group name, as appropriate.
(C) Document name (Additional, as
			 needed).