Electronic Filings
When is the latest I can submit changes to my annual or quarterly statements?
The last business day of January of the following year is the usual cut-off date. For example January 31, 2007 is the cutoff for 2007 annual and 2008 quarterly: This system will stop accepting filings for the prior year's filing because it will be preparing to take the next data year filing. Once the system has cut-off accepting filings, it will not be able to accept them electronically.
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When is the earliest I can submit files?
Filings that are currently being accepted will be listed on the Internet Filing Website at https://www2.naic.org/servlet/Index
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Do I have to sign up for each quarterly or annual filing for Internet Filing?
No. Once a representative from your company, usually the Financial Statement Contact Person, has signed up the company, you can submit either annual or quarterly filings.
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What browsers are supported for Internet Filing?
NAIC technical support staff supports primarily Internet Explorer and Netscape Navigator or Netscape Communicator on Windows based operations systems. As versions are subject to change, please consult system requirements online at https://www2.naic.org/servlet/Sysreq for the most recent versions.
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Due to many organizations' increasing security measures, it may be necessary to update your organization's browser and firewall settings to accept NAIC Internet Filing website address as trusted. Ask your technical support personnel to set the trusted address to https://www2.naic.org.
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Please note: pop-up blockers may inhibit the filing upload progress window from displaying. This does not interfere with the upload process. However, organizations may want to add the above address to the allow list in their pop-up blocker configuration.
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When I attempt to submit a filing using Internet Filing, the "browse" button does not appear. What's wrong?
You are not using the appropriate browser and/or the appropriate version. P lease consult system requirements online at https://www2.naic.org/servlet/Sysreq for the most recent versions.
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What filings can I submit through the NAIC's Internet Filing Web site?
Filings that are currently being accepted will be listed on the Internet Filing Website https://www2.naic.org/servlet/Index.
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Can the NY supplement be submitted by diskette?
Although companies may submit the New York Supplement using the NAIC's Internet Filing application, you will have to contact Susan Agcaoili at the New York Department of Insurance regarding diskette submission of the supplement.
Susan Agcaoili
(518) 473-3775
sagcaoil@INS.STATE.NY.US
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Filing Questions
How to a get a copy of the checklist from the NAIC?
Your domiciliary state's checklist provides the items that should be sent to the NAIC. The items will be listed under the column marked "NAIC". You can use the following link to go to a listing of state sites that has this information (http://www.naic.org/industry_filing_state_instructions.htm ) or contact your state of domicile.
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What is the difference between an amended and a refilled electronic filing?
A refile must be submitted when an original filing previously submitted had validation failures that have prevented it from being loaded to the database. An amended filing is submitted when changes have been made to the information contained in the filing after the original or refile has been sent and loaded successfully to the NAIC Database.
An amended filing is also used when pieces of the original filing were omitted when initially submitting the zip file. A refiling is a complete re-submission of all of the data and an amendment can be just one change.
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How am I notified if there is a problem with my filing?
The Data Administrator or the Financial Analyst assigned to your company will contact you if there is a problem or question with your filing. If the filing could not be processed, you will most likely hear from the Data Administrator assigned to your company.
If there is a question about the data submitted, you will most likely be contacted by a financial analyst. The name of the person requesting the action should be listed in the correspondence.
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How do I determine what items to send to the NAIC? I can't find a checklist.
You will need to consult your domiciliary states checklist. You can also use this link to get to the State's website: http://www.naic.org/industry_filing_state_instructions.htm.
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How do I sign up for Internet Filing?
- Go to the NAIC Web Site at https://www2.naic.org/servlet/Signup
- Fill in the required information and click submit
Within 7 business days, a written confirmation containing a User ID and password will be sent to the Current Financial Statement Contact person at your company, (based on your latest financial filing with the NAIC). To expedite the receipt of the Internet Filing User ID and password, call (816) 783-8600 or e-mail, FDRadmin@naic.org.
Please include your NAIC Company code when requesting UserID and password information.
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When can I use Internet filing?
You may use the Internet Filing site as soon as you have been given your UserID and Password and the Internet Filing Site is available to receive filings. The next electronic filing you need to submit-whether it is an original or an amended-can be submitted via the Internet Filing Website. Please check the Internet Filing home page ( https://www2.naic.org/servlet/Index ) for files being accepted.
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What should I do if my company has been granted a waiver from filing?
Please send a copy of the state's letter approving the waiver from filing with the NAIC to the Data Administrators. If it does not specify that it is a permanent waiver, the waiver will be applied to the current data year and specific filing noted only. You will have to submit it again the following year if it is granted by your state. You can send the waiver to the Data Administrator assigned to your company or to FDRadmin@naic.org or fax it to (816) 460-0189. Your email or fax will be forwarded to the Data Administrator assigned to your company.
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What should I do if my company has been granted an extension?
Please send a copy of the state's letter approving the extension from filing with the NAIC to the FDR Data Administrators. If it does not specify that it is a permanent extension, the extension will be applied to the current data year and specific filing noted only. You will have to submit it again the following year if it is granted by your state. You can send the extension to the Data Administrator assigned to your company or to FDRadmin@naic.org or fax it to (816) 460-0189. Your email or fax will be forwarded to the Data Administrator assigned to your company.
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What is the mailing address for the NAIC?
NAIC Database
Attn: Data Administrators
2301 McGee Street, Suite 800
Kansas City , Mo 64108-2662
(816) 783-8600
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Point of Contact for Questions
Who do I contact for questions on how to complete my Annual and Quarterly statement?
For questions concerning how to complete your statement contact the Accounting & Reporting Unit Questions Help Line at (816) 783-8400.
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Who do I contact when I have a question about my electronic filing?
Please contact FDR Data Administrators at (816) 783-8600 for assistance. When you call, please leave your name, telephone number, 5-digit NAIC company code, and a brief description of your question. You can also email FDRadmin@naic.org.
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Who do I contact when having problems with my Internet filing UserID and Password?
Please contact the FDR Data Administrators at (816) 783-8500 or email FDRadmin@naic.org . You can also contact the NAIC Help Desk at (816) 783-8500 or email at Help@naic.org.
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If I forget my Internet Filing UserID and Password, whom can I call?
There are several ways you can get your UserID and Password.
- If you know who the Data Administrator is that is assigned to your company, you can call your Data Administrator
– OR-
- You can email FDRadmin@naic.org and place USER ID and PASSWORD Needed in the subject line. – OR-
- You can also call at (816) 783-8600. When calling, please leave the following information:
- your name,
- telephone number ,
- and the company code(s) that you need the UserIDs and Passwords.
A Data Administrator will retrieve the information and contact you.
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If I forget my Internet Filing password, how do I get back into the system?
If your UserID and password were supplied by an administrator at your company (Financial Statement Contact Person), that person will be able to reset your password. However, if the User ID was supplied directly by the NAIC, you must contact the NAIC Help Desk at (816) 783.8500 or email Help@naic.org .
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Do I have to sign up separately in order to submit a combined filing using Internet Filing?
Yes. Combined Filings are assigned their own NAIC code, therefore, must be submitted using a separate Internet Filing UserID and password.
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What should I do if my company is involved in a merger?
If your company has been involved in a merger, please fax one of the following items directly to Jennifer Heinz. Her fax number is (816) 460-7521.
- Copy of the merger order – OR-
- A letter of instruction, which should include the name of the companies involved in the merger, the effective date of the merger and the name of the surviving company.
If you have additional questions concerning merged companies, you can contact Jennifer Heinz at (816) 783-8605 or email JHeinz@naic.org .
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I got a letter from the NAIC; to whom do I speak to about the letter?
You need to contact the individual that sent you the letter. The person's name should be listed in the correspondence. If the name is not present and you have the name of the department, you can contact the NAIC operator at (816) 842-3600 and you will be directed to a member of that department.
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Who do I contact about filing fees and remittance invoice questions?
Contact the NAIC Accounting Department about inquiries dealing with filing fees and the remittance invoice. You can contact a member of the Accounts Receivable Department by calling (816) 783-8089 or Email AcctgRec@naic.org .
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Who do I contact when I have not received my IRIS?
If you are an Internet Filing user, you can retrieve copies of your current plus 4 prior years from the Internet Filing Web site. Please follow these steps.
- Go to www.naic.org/industry_home.htm.
- Scroll to the Financial Statement Filing section.
- Click the "Internet Filing" link under the Participation column.
- Sign into Internet Filing using the User ID and password assigned to your company. The site is case-sensitive. Please use lower-case lettering only.
- Click the "IRIS Results" button on the left side of the page.
- The most recent IRIS results will be displayed. You can also, in most instances, retrieve current IRIS results plus the past four prior years provided that your company had results for these data years.
- Follow the instructions on the screen to print the IRIS with or without the Internet Filing banner.
A company receives only its own IRIS Ratio Results. You can purchase the Insurance Regulatory Information System (IRIS) Ratio Results through the NAIC Insurance Products & Services Division by calling (816) 783-8300 or e-mail prodserv@naic.org.
If you are looking for IRIS that are over 6 years old, please email FSSIRIS@naic.org or call (816) 783-8600.
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Who do I contact when I would like to send in an explanation for my IRIS ratios?
| Life and Fraternal Explanations |
Property Explanations |
Jane Koenigsman
Accounting & Reporting Unit Division
2301 McGee Street, Suite 800
Kansas City , Mo 64108
|
Andy Daleo
Accounting & Reporting Unit Division
2301 McGee Street, Suite 800
Kansas City , Mo 64108
|
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A company can only request their own IRIS ratios results. You can purchase the IRIS Ratio Results Publication through the NAIC Insurance Products and Services Division. You can contact them at (816) 783-8300 or email them at ProdServ@naic.org for more information.
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How can I find out about the status of my NY supplement filing?
Companies may submit the New York Supplement using the NAIC's Internet Filing application, but the NAIC Data Administrators do not have access to these filings. Please contact:
Susan Agcaoili
(518) 473-3775
sagcaoil@INS.STATE.NY.US
Do not send these filings to the NAIC Database (on a diskette or CD-Rom) with your Annual Statement filing.
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Who do I contact about how to use my vendor software?
You may contact your Annual, Quarterly, and Risk-Based Capital Software Vendor by using the information below:
| Vendor |
Product |
E-mail |
Contact Number |
A.M. Best Company
www.ambest.com/esp
Ambest Road
Oldwick , NJ 08858
|
Life, Property, Health, Separate Accounts, Title and RBC (Health, Life and Property) |
BestESP_sales@ambest.com |
Phone: (908) 439-2200 x5238
Fax: (908) 439-3385
|
Booke Seminars
www.bookeseminars.com
1100 Reynolds Blvd
Winston, Salem, NC 27105
|
Life, Property, Health, Title, Fraternal, Separate Accounts and RBC (Health, Life and Property) |
info@bookeseminars.com |
Phone: (800) 277-1120
Fax: (336) 896-8083
|
Financial Software Innovations
www.fsi-inc.com
3102 Bee Caves Road, Suite 200
Austin , TX 78746
|
Life, Property, Title, Fraternal, Health, Separate Accounts and RBC (Health, Life and Property) |
help@fsi-inc.com |
Phone: (800) 969-7979
Fax: (512) 328-1984
|
Fiserv Insurance Solutions (formerly The Freedom Group)
www.fiservinsurance.com
2110 Wiley Blvd. SW
Cedar Rapids , IA 52404
|
Life, Property, Health, Separate Accounts and RBC (Health, Life and Property) |
solutions@fiserv.com |
Phone: (800) 943-2851
Fax: (319) 378-5788
|
SunGard iWORKS LLC (formerly SunGard Insurance Systems)
www.sungardinsurance.com
321 Susan Drive , Suite C
Normal , IL 61761
|
Life, Property, Health, Separate Accounts, Fraternal and RBC (Health, Life and Property) |
Sis.efshelp@sungard.com |
Phone: (309) 862-4300
Fax: (309) 888-2130
|
EagleTM
www.eagletm.com
701 Tama Street
Marion , IA 52302
|
Life, Property, Health, Fraternal, Separate Accounts and RBC (Health, Life and Property) |
sales@eagletm.com |
Phone: (800) 975-3245 x12
Fax: (800) 492-3846
|
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