A comprehensive set of instructions for new filers is available. You should also obtain a copy of the Purposes and Procedures Manual of the NAIC Securities Valuation Office from the NAIC Products & Services website.

Information about requesting a CUSIP for a new issue can be obtained from the CUSIP Service Bureau. You may also refer to Part Two, Section 2(f) of the Purposesand Procedures Manual of the NAIC Securities Valuation Office for instructions on how to obtain a CUSIP number.

For municipal securities it is acceptable to submit one package of documents and one ATF for issues in the same series with different maturities. You will need to list the individual additional CUSIPs in the appropriate section. For structured and corporate securities it is again acceptable to submit one package of documents, however each individual issue for the same issuer must have its own ATF.

The CUSIP Bureau may have inadvertently failed to add the CUSIP to the SVO's daily feed. Contact CUSIP at (212) 438-6564 and ask that they make sure the security is added to the feed.

The NAIC does not dictate which insurance company files the security with the SVO. Per Part Two, Section 2(d) of the Purposes and Procedures Manual of the NAIC Securities Valuation Office, reporting is the responsibility of the company that has purchased the security. With respect to private placements, Section 2(d) provides that the insurance company that has the highest dollar investment in the security is generally responsible for filing the security. However, once one holder of the security has filed with the SVO, then it is not necessary for the other holders to submit additional filings, as the Designation and/or price for the security is valid for all holders.

Statement of Statutory Accounting Principles No. 26 provides that CD's with more than one year to maturity (when issued) are similar to bonds. When filed, the SVO will usually assign the credit quality of the issuing bank entity to the CD.

The message "Not Currently in SVO Database" can indicate one of several situations. First, the message may be an indication that this particular issue has never been filed with the SVO and is not in the database. If, however, the screen displays an ATF number, submission date received, filing description and industry code, the message means that the particular CUSIP has been filed with the SVO and is in the process of being reviewed by the analyst.

In some cases, filers call because they receive this message for issues that were on the database previously. If this is the case, the security may have been dropped from the database for one of several reasons:

• When an issue matures it is dropped from the SVO database.
• It is possible that the issue was renumbered. The record would then be located under the new CUSIP.
• The issue may have been deleted during the "ND" deletion process.

The SVO produces NAIC Designations for foreign countries solely as an internal analytical product to enable analysts to assign NAIC Designations to individual foreign bonds. However, in order to facilitate insurer compliance with Appendix A-001 of the NAIC Accounting Practices and Procedures Manual, the SVO has agreed to place its internal list of NAIC Designations for sovereigns on the NAIC web page. The list is made publicly available solely to permit insurers to make required disclosure of foreign investment exposure pursuant to Appendix A-001. The list is updated on the first business day of each month and can be accessed through the SVO website, in the Important Updates area. If you need historical sovereign designations, please refer to the following link on the NAIC website: https://naic.org/svo_important_updates.htm.

Public bond prices are obtained through pricing feeds, which are received each month. Public bond pricing excludes debt issues that are non-U.S. denominated, convertible, or which have PIK features. Information displayed on AVS is current.

Please visit the Financial Reporting Department's website. There is a FAQ document posted to this website, which addresses common financial reporting questions. For information about this topic, please contact the NAIC help desk at Help@NAIC.org

Please refer to Part 1 Section 3, page 28 of the Purposes and Procedures Manual of the NAIC Securities Valuation Office. You should also be familiar with Special Reporting Instruction discussed in Part 3, Section 1, page 96. The Special Reporting Instruction provides that an insurer who has reported a security as a "Z" for one year may not report it with a "Z" for a second year. Rather, the insurer must either file it with the SVO or self-designate as an NAIC 5* or 6*.

According to Part Three of the Purposes and Procedure Manual of the NAIC Securities Valuation Office, insurance companies should not file sovereign bonds with the SVO if the issuer does not have a sovereign rating from an NRSRO unless the bond is guaranteed by an NRSRO-rated foreign government.

Part 6 of the Purposes and Procedure Manual of the NAIC  Securities Valuation Office contains a detailed explanation of the criteria for eligibility. If you have any additional questions about these lists please contact the SVO by email at to SVOInquiry-MF@NAIC.org.

Part 6 of the Purposes and Procedure Manual of the NAIC Securities Valuation Office contains a detailed explanation of the criteria for eligibility. If you have any additional questions about these lists please contact the SVO by email at SVOInquiry-MF@NAIC.org.

United States Government Securities do not come under the new Filing Exempt (FE) rules. The procedure for handling these securities is found under Part Two Section 4(c).