Financial Regulation
All of the below publications are available as electronic files to purchase and download, click here to get started!
Accountants, financial analysts, financial examiners, receivers, lawyers and others will find these resource materials helpful. They include handbooks, compliance guides and reports on financial analysis, state audit requirements and receiverships.
Company Licensing Best Practices Handbook
This handbook’s objective is to provide a framework that, while not preempting a state’s authority, promotes consistent decisions while reviewing the standardized Uniform Certificate of Authority Application (UCAA) and helps improve the efficiency of the review process. This handbook is not intended to constitute a comprehensive company licensing procedures manual. Updated annually.
| CLH-OP |
Company Licensing Best Practices Handbook |
$50.00 |
$55.00 |
Directory of Receivership Resources to Assist Receivers
This directory is a comprehensive listing of accountants, actuaries, investment managers, lawyers, reinsurance specialists and general consultants who can help insurance departments administer receiverships. It provides contact names, addresses and a brief company overview for each person/firm listed in the directory. Copyright 2009.
| DAR-ZB |
Directory of Receivership Resources to Assist Receivers |
$45.00* |
$50.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Directory of Resources to Assist Receivers of Insolvent Companies also purchase one or more of the following products.
Financial Analysis Handbooks
The Financial Analysis Handbooks were developed by the Financial Analysis Handbook Working Group of the Examination Oversight (E) Task Force. The purpose of the Handbook is to provide a means for insurance departments to more accurately identify companies experiencing financial problems or that pose the greatest potential for developing financial problems. In addition, the Handbook provides guidance for the insurance departments to define and evaluate particular areas of concern in troubled companies. The overall goal of the Handbook is to enable regulators to identify financially troubled insurers earlier, evaluate and understand their problems better, and develop appropriate corrective action plans sooner, thus potentially decreasing the frequency and severity of insurance company insolvencies. Updated annually.
| FAH-HEA |
Financial Analysis Handbook (Health) |
$125.00* |
$140.00** |
| FAH-LU |
Financial Analysis Handbook (Life) |
$125.00* |
$140.00** |
| FAH-PU |
Financial Analysis Handbook (P/C) |
$125.00* |
$140.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Financial Analysis Handbook also purchase one or more of the following products.
Financial Condition Examiners Handbook
This handbook provides a guide to assist state insurance departments in establishing an effective examination system. It provides an overview of the entire examination process and then offers specific instructions and suggestions for carrying out each individual phase of examination. This handbook is updated annually and also available on CD-ROM.
Updates to the Financial Condition Examiners Handbook
| EXF-ZU |
Financial Condition Examiners Handbook |
$250.00* |
$270.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Examiners Financial Condition Handbook also purchase one or more of the following products.
Guide to Compliance with State Audit Requirements - As of 2004
This publication is a tool to assist insurers, CPAs and other interested parties in complying with the various state filing mandates for annual audited financial reports and related correspondence. It highlights differences in the states' requirements from the NAIC Model Audit Rule Requiring Audited Financial Statements and provides documentation of each state's rules and regulations. This guide also includes a copy of the AICPA's Statement Position 95-4, "Letters to State Insurance Regulators to Comply with the NAIC Model Audit Rule," as well as examples of various required letters and forms. This guide is also available on CD-ROM, providing instantaneous search capabilities powered by NextPage. Copyright 2004.
| CPA-ZU |
Guide to Compliance with State Audit Requirements - As of 2004 |
$250.00* |
$270.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Guide to Compliance also purchase one or more of the following products.
Insurance Industry Snapshots
The NAIC Insurance Industry Snapshots provide an aggregate
summary of the financial standing for P&C, title, life,
fraternal and health insurers. The snapshots provide timely
data for the U.S. insurance industry within five days of
the quarterly NAIC statutory filing deadline. They also provide
key ratio indicators for use in benchmarking, plus one current
and four historical periods of data to help you better understand
developing industry trends. This product includes a complimentary
update approximately 30 days after each quarterly report
is published. Available in electronic format only. Updated
quarterly.
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Insurance Industry Snapshots also purchase one or more of the following products.
Insurance Regulatory Information System (IRIS)
IRIS has been used since 1972 to help insurance regulators evaluate the financial condition of insurance companies. More than 5,000 companies file their financial statements with the NAIC each year.
IRIS Ratio Results and IRIS Ratios Manual provides a comprehensive method for screening and analyzing the financial state of insurance companies. It contains both the Ratio Results for the Insurance Regulatory Information System and IRIS Ratios Manual.
Ratio Results for the IRIS is part of the Financial Analysis Solvency Tools (FAST). IRIS includes ratio results for each of the more than 5,000 companies that file with the NAIC every year. An annual subscription to this publication includes the manual and three updates.
IRIS Ratios Manual is also part of the Financial Analysis Solvency Tools (FAST). This publication contributes to the goal of providing state insurance departments with an integrated approach to screening and analyzing the financial condition of insurance companies by explaining ratio calculations and providing worksheets and benchmarks that are part of the NAIC's IRIS. Updated annually.
| IRS-ZU |
Ratio Results and Ratios Manual |
$175.00* |
$195.00** |
| RRI-ZU |
Ratio Results |
$150.00* |
$165.00** |
| UIR-ZB |
IRIS Ratios Manual |
$75.00* |
$85.00** |
Companion Products
The following companion product provides additional information on the same or similar subject matter. Many customers who purchase Insurance Regulatory Information System (IRIS) Ratio Results also purchase the following product.
Quarterly Listing of Alien Insurers
Includes alien insurers that have fulfilled the criteria in the International Insurers Department Plan of Operation. Currently lists alien companies and Lloyd's syndicates with their city and country of domicile. It also provides information about the trust accounts of all currently listed insurers and includes: location of trust account, minimum required balance or trust account, market value of trust account, whether the account is funded by a letter of credit and the trustee bank contacts with their telephone and fax numbers. Updated quarterly.
| QLS-AS |
Quarterly Listing |
$250.00* |
$275.00** |
Receivers Handbook for Insurance Company Insolvencies
Provides the most current, complete information available on administering insurance company receceiverships. Represents more than two years of work compiling information from more than 50 authorities, including actuaries, accountants and consultants who regularly work on receiverships. Fully indexed and cross-referenced to make research easy. Chapters discuss takeover and administration; data processing; accounting and financial analysis; investigation and asset recovery; claims; guaranty funds; reinsurance; special receiverships; and legal considerations. Copyright 2009.
| REC-BU |
Receivers Handbook for Insurance Company Insolvencies |
$425.00* |
$470.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase Receivers Handbook for Insurance Company Insolvencies also purchase one or more of the following products.
Uniform Certificate of Authority Application (UCAA) Manual
Designed to assist companies in filing a primary application, an expansion application or corporate amendments to the certificate of authority, the UCAA Manual contains all the latest forms, instructions and examples of completed forms. It also includes charts that provide state specific information companies must have to allow them to comply with the filing requirements of each state. Updated annually.
| UCA-OPA |
UCAA Manual |
$140.00* |
$155.00** |
Companion Products
The following companion products provide additional information on the same or similar subject matter. Many customers who purchase UCAA Manual also purchase one or more of the following products.
*Domestic Price **International Price
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