Texas Administrative Code › Title 28 - INSURANCE › Part 1 - TEXAS DEPARTMENT OF INSURANCE › Chapter 3 - LIFE, ACCIDENT, AND HEALTH INSURANCE AND ANNUITIES › Subchapter A - SUBMISSION REQUIREMENTS FOR FILINGS AND DEPARTMENTAL ACTIONS RELATED TO SUCH FILINGS › Section 3.3 - Transmittal Information

Current through Reg. 49, No. 28; July 12, 2024
(a) All filings
				  submitted pursuant to this subchapter must be accompanied by the department's
				  transmittal checklist except for the documents listed in §
										3.1(11)(B)
				  of this title (relating to Scope), which must be accompanied by the
				  department's transmittal form as described in this section. Copies of the
				  transmittal checklist and transmittal form are available from the Texas
				  Department of Insurance, Life and Health Division, Filings Intake, MC-LH-LHL,
				  P.O. Box 12030, Austin, Texas 78711-2030, or by accessing the department's
				  website at
www.tdi.texas.gov/forms
.
(b) The transmittal checklist must :
(1) provide complete and accurate information
				  about the filing;
(2) include, at a
				  minimum, the following information:
(A) the
				  name and address of the submitting company;
(B) the contact person information as
				  required in §
												3.4(b)
				  of this title (relating to General Submission Requirements);
(C) the unique identifying form number of
				  each form submitted;
(D) an
				  explanation of the purpose and use of each form as defined in §
												3.2 of
				  this title (relating to Definitions);
(E) an indication of the product and
				  type;
(F) an indication of whether
				  the filing is prompted by a business change such as an assumption, a name
				  change, or a demutualization/conversion;
(G) the applicable authority from the
				  Insurance Code or the Administrative Code under which the form is being
				  submitted as described in §
												3.5
				  of this title (relating to Filing Authorities and Categories);
(H) an indication of whether the filing is a
				  matrix filing;
(I) rate filing
				  information, if applicable;
(J) a
				  statement that the submission will be used:
(i) on a general use basis, only with the
				  policy being filed, or with previously approved or exempted forms;
				  and
(ii) if the submission will be
				  used with previously approved or exempted forms, a listing of the following:
(I) the form numbers of the previously
				  approved or exempted forms;
(II)
				  the approval or exemption dates of the previously approved or exempted forms;
				  and
(III) a brief description of
				  when or how each submitted form will be used with the previously approved or
				  exempted forms;
(K) if the filing is a group filing, it must
				  contain:
(i) A statement specifying the
				  specific group type as set forth in §
													3.6(c)(1)
				  of this title (relating to Certifications, Attachments, and Additional
				  Information Requirements).
(ii) A
				  separate policy and certificate for each type of group. A submission of a
				  single policy and certificate for use with more than one type of group is
				  prohibited.
(iii) The following as
				  applicable:
(I) a statement specifying the
				  size of the group if issued under Chapter 26 of this title (relating to Small
				  Employer Health Insurance Regulations);
(II) a copy of the trust agreement if issued
				  to a trust;
(III) a copy of the
				  constitution, bylaws, and articles of incorporation if issued to an
				  association; or
(IV) certification
				  and evidence that the master policy for the group was lawfully issued and
				  delivered in a state in which the company was authorized to do insurance
				  business;
(L)
				  any certifications and attachments, including summary of differences, if
				  applicable, or any additional information required by §
												3.6
				  of this title, or variable information in accordance with §
												3.4(e)
				  of this title.
(3) be
				  completed, signed, and certified by an attorney licensed to practice law in
				  this state, an actuary familiar with the requirements of the Insurance and
				  Administrative Codes, the chief executive officer of the filing company, or a
				  person with authority to bind the company.