New Filer Instructions
These instructions should be followed by insurance companies who have never filed with the SVO before or non-insurance companies who are, for the first time, filing on behalf of an insurance company client (filing agents).
- Request the Purposes & Procedures Manual of the NAIC Securities Valuation Office and How To Comply from the NAIC Insurance Products & Services Division (816.783.8300). You will be billed for these publications.
- You will need to file any security that you own that has not already been filed by another insurance company with certain exceptions as described in the P&P Manual.
- Securities are filed with the Securities Valuation Office through the Integrated Securities Information System (ISIS), an Internet based system introduced in June 1999. You will need Netscape 4.0 or greater or Internet Explorer 4.0 or greater as the browser.
- The document, Getting Started in ISIS, provides a complete description of ISIS and the requirements for its use.
- You will need a User ID which you can get from the NAIC Help Desk at 816.783.8500.
- Once you receive your ID and gain access to ISIS, you will navigate through a series of screens applicable to the type of security you wish to file with the SVO. The end product of this process is an ATF form which you will attach to the supporting documentation as outlined in How To Comply. The whole submission package should be sent to the SVO, One New York Plaza, Suite 4210, New York, NY 10004.
Non-insurance companies filing on behalf of an insurance company client (filing agents)
In addition to the instructions outlined above, filing agents have another step they must follow before they can file for their insurance company clients.
Each insurance company client must submit a letter on its own letterhead authorizing the filing agent to file on its behalf. Address the letter as shown below and then fax it to the NAIC Help Desk (816.460.7456):
NAIC Help Desk
1100 Walnut Street
Kansas City, MO 64106-2197
The NAIC Help Desk will not issue an ID until this letter is on file with the SVO.
Sample TPA Letter