New York Codes, Rules and Regulations › Title 11 - INSURANCE › Chapter I - GENERAL PROVISIONS › Part 6 - Electronic Filings and Submissions › Section 6.2 - Required electronic filings and submissions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Except where the Insurance Law requires a
				filer to submit a hard copy, a filer shall submit to the superintendent the
				following electronically, in a form and manner acceptable to the
				superintendent:
(1) Insurance Fraud
				Prevention Plans and Reports. A report required by Insurance Law section
				405(a) and a fraud
				prevention plan, subsequent plan amendments, and annual reports required by
				Insurance Law section
				409(a), (d), and
				(g).
(2) Rates and Forms. Through
				SERFF, a rate, rating plan, rating rule, rating manual, rating classification,
				territory, or insurance contract or policy form, except when the filer is a
				charitable annuity society or assessment cooperative but including when the
				filer is a student health plan certified pursuant to Insurance Law section
				1124.
(3) Compensation Schedules. Through SERFF, a
				schedule of rates of commissions, compensation and other fees or allowances to
				a gents and brokers as required by Insurance Law section
				4216(e) and sections
				185.9 and
				187.8  of this Title.
(4) Annual and Quarterly Statements. An
				annual financial statement and the required independently audited financial
				statement of a student health plan certified pursuant to Insurance Law section
				1124 or municipal cooperative health
				benefit plan certified pursuant to Insurance Law Article 47 and a quarterly
				financial statement of such a municipal cooperative health benefit plan. In
				addition, the filer also shall file the statements as hard copies.
(5) Risk Retention and Purchasing Group
				Documents. The information required by Insurance Law sections
				5903,
				5904, and
				5908(a) and (d).
(6) Holding Company and Parent Corporation
				Applications an d Reports. The following holding company and parent corporation
				applications and reports:
(i) an application
				for acquisition or retention of control or a notice of proposed divestiture of
				control submitted pursuant to Insurance Law section
				1506 and section
				80-1.6  of this Title;
(ii) an application for a determination of
				non-control submitted pursuant to Insurance Law section
				1501(c) and section
				80-1.3  of this Title;
(iii) a report submitted pursuant to section
				80-1.4  of
				this Title and 10 NYCRR 98-1.1.16(e);
(iv)
				 a request for approval of a transaction and a notice of a
				proposed transaction submitted pursuant to Insurance Law section
				1505(c) and (d) and
				section 80-1.5  of this Title or 10 NYCRR
				98 -1.10(c) and 10 NYCRR 98-1.11(b);
(v) notice to acquire, divest, invest in, or
				organize pursuant to Insurance Law section
				1603,
				1701,
				1705 or
				1710 or section 81-1. 1 of this
				Title;
(vi) a registration and any
				amendment thereto submitted pursuant to Insurance Law section
				1604(a) or
				1717(a);
(vii) notification of a transaction submitted
				pursuant to Insurance Law section
				1608(e) or
				1712(b);
(viii) a report submitted pursuant to section
				81-1.2  of
				this Title;
(ix) a request for a
				waiver submitted pursuant to section
				81-1.3
				or
				81-2.10 
				of this Title;
(x) a report
				submitted pursuant to Insurance Law section
				1708 and section
				81-2.4  of this Title; and (xi) a
				report submitted pursuant to section
				81-2.3
				or
				81-2.5 
				of this Title.
(7)
				Agreement for an advance or borrowing; surplus note or principal or interest
				payments. An agreement submitted for approval pursuant to Insurance Law section
				1307(d) and an application
				for approval of the issuance of a surplus note or principal and interest
				payments pursuant to Insurance Law section
				1307.
(8) Dividend distributions. An application or
				notice of intent to declare and distribute a dividend when required to notify
				the superintendent.
(9) Medicare
				supplement insurance advertising filing. Through SERFF, a filing made pursuant
				to section
				215.5(d) 
				of this Title.
(10) Free trade zone
				report. A financial report submitted pursuant to section
				16.7(a) 
				of this Title.
(11) Pharmacy benefit
				manager documents. The information and documents required by Insurance Law
				Article 29, Public Health Law section 280-a and Chapter XXI of this
				Title.