NAIC Compliance - Third Party Biographical Affidavit Verifications

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Biographical Affidavit State by State Requirements

Uniform Certificate of Authority Application (UCAA)
Fingerprint, Biographical Affidavit and Third Party Verification Reports Requirements


As of September 28, 2011

State Requirements for Licensure Requirements After Licensure
(Non-Domestic)
Alabama NAIC biographical affidavit and Third-Party Verification. If requested a NAIC biographical affidavit is required for new officers/directors of foreign insurers, within 15 days of request.
Alaska NAIC Biographical Affidavit and Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Arizona Primary:
NAIC Biographical Affidavit and Fingerprint Cards. Affidavit must be originally executed. Contact the Financial Affairs Divisions at: (602) 364-3999 to request fingerprint cards and instructions.
Expansion:
NAIC Biographical Affidavit and Third-Party Verification.
NAIC biographical affidavit is not required for new officers or directors.
Arkansas NAIC Biographical Affidavit and Third-Party Verifications. NAIC biographical affidavit is not required for new officers or a director, assuming the domestic state is reviewing changes.
California Fingerprints and biographical affidavits, please contact California's Department of Insurance directly at (415) 538-4035 to request the necessary fingerprint live scan, affidavit forms and information. A state specific biographical affidavit is required for new officers or directors within a reasonable time. www.insurance.ca.gov
Colorado NAIC Biographical Affidavit and fingerprint cards for all domestic companies per 10-3-112 C.R.S. NAIC Biographical Affidavits and Third Party Verification reports for all foreign companies. NAIC biographical affidavit is not required for new officers or directors.
Connecticut The State of Connecticut requires the NAIC Biographical Affidavits and as of 10/01/07 will require third-party background investigations. A NAIC biographical affidavit is required for new officers/directors as soon as possible.
Delaware NAIC Biographical Affidavit. A NAIC biographical affidavit is required for new officers or directors listed on the NAIC Jurat page of the annual statement within a reasonable time frame.
District of Columbia NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Florida NAIC Biographical Affidavit, Third-Party Verification and Fingerprint Cards. Please contact the Office of Insurance Regulation at (850) 413-2575 to request the necessary fingerprint cards or appcoord@fldfs.com Effective August 16, 2007, Florida no longer requires credit reports with the background investigations. A NAIC biographical affidavit is required for new key officers.
Georgia NAIC Biographical Affidavit and Independent Third-Party Verification Contact state for requirements.
Hawaii NAIC Biographical Affidavit and Independent Third-Party Verification Sally D. Bautista ó Phone #: (808) 586-7414. NAIC biographical affidavit is required for new officers when filing for Mergers and Acquisitions only.
Idaho NAIC Biographical Affidavit and Third-Party Verification. A NAIC biographical affidavit and Third-Party Verification report is not required for new officers or directors. Foreign insurers licensed in Idaho are not required to file separate notices of changes in officers and directors nor biographical affidavits with the Idaho DOI, provided the company files annual and quarterly financial statements electronically with the NAIC.
Illinois NAIC Biographical Affidavit. Contact state for requirements.
Indiana NAIC Biographical Affidavit and Independent Third-Party Verification. A NAIC biographical affidavit and Third-Party Verification report is not required for new officers or directors. Notification of a change in officers or directors is required within 30 days.
Iowa NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Kansas NAIC Biographical Affidavit certified by an Independent Third-Party. NAIC biographical affidavit is required for new President or Secretary.
Kentucky NAIC Biographical Affidavit and Third-Party Verifications. NAIC biographical affidavit is required for new Presidentís only, within 30 days.
Louisiana NAIC Biographical Affidavits, Investigative Reports and Fingerprint Cards. Contact state for requirements.
Maine NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Maryland NAIC Biographical Affidavit certified by Independent Third-Party Verification. NAIC biographical affidavit is required for new officers or directors.
Massachusetts NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers or directors.
Michigan Primary:
NAIC Biographical Affidavit and fingerprint cards. Please contact the Office of Financial and Insurance Regulation at (517) 373-7232 to request the necessary fingerprint cards.
Expansion:
The State of Michigan requires NAIC Biographical Affidavits and Third-Party Verifications.
NAIC biographical affidavit is not required for new officers.
Minnesota NAIC Biographical Affidavit and Independent Third-Party Verifications are required for Primary and Expansion Applications. Signatures must be original. NAIC biographical affidavit is not required for new officers or directors.
Mississippi NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers or directors. A letter of notification is required for any changes in officers or directors.
Missouri NAIC Biographical Affidavit and Independent Third-Party Verification. Contact state for requirements.
Montana NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Nebraska NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Nevada NAIC Biographical Affidavit. A letter is required indicating new officers within 90 days.
New Hampshire NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers or directors.
New Jersey Primary:
New Jersey has a state specific biographical affidavit form and will require a criminal history record check by the New Jersey State Police. The biographical affidavit form is available on the Departmentís web site. However, the criminal history record check is a yellow form from the State Police and must be supplied by the New Jersey Department of Banking and Insurance.
Expansion:
NAIC Biographical Affidavit.
Contact state for requirements.
New Mexico NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is required for new officers, as soon as possible.
New York NAIC Biographical Affidavit and Fingerprint Cards. Contact state for requirements.
North Carolina NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers or directors.
North Dakota NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Ohio Ohio does require independent third party verifications from the Ohio list at http://ohioinsurance.gov/Company/BIO_ThirdParty.htm NAIC biographical affidavit is not required for new officers or directors.
Oklahoma NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Oregon Biographical affidavit for all officers and directors of the company as listed on the jurat page of the filed statement. NAIC biographical affidavit is not required for new officers or directors.
Pennsylvania Pennsylvania requests verification of primary application biographical affidavits, we do not require third-party party verification of foreign applicants. Contact state for requirements.
Rhode Island Rhode Island will no longer require the Independent Third-Party Verifications. Rhode Island will only require the NAIC Biographical Affidavit. NAIC biographical affidavit is required for new officers and directors within a reasonable time frame.
South Carolina NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
South Dakota DO NOT SUBMIT Biographical Affidavits or employee organizational charts for foreign insurance companies. They are not required of foreign companies at any time. NAIC biographical affidavit is not required for new officers or directors.
Tennessee NAIC Biographical Affidavit. NAIC biographical affidavit is required for new officers and directors within a reasonable time frame; hardcopy is preferred (photocopy will be accepted.
Texas Submit biographical information pursuant to UCAA instructions and requirements. Submit fingerprint cards for each biographical affidavit that is submitted with the application. For fingerprint card information, please see http://www.tdi.state.tx.us/bulletins/2006/cc26.html. Texas strongly recommends submitting digital fingerprint cards, as the cards are accurate and processing time is much faster. Ink print cards require longer processing times and are very susceptible to inaccuracies that may require multiple submissions. NAIC biographical affidavit and fingerprint card are required for new key officers within 30 days.
Utah NAIC Biographical Affidavit and Independent Third-Party Verification. A letter is required listing changes for removals if removed for a cause.
Vermont NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers or directors.
Virginia NAIC Biographical Affidavit and Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
Washington NAIC Biographical Affidavit and Third-Party Verification. NAIC biographical affidavit is not required for new officers or directors.
West Virginia NAIC Biographical Affidavit. A NAIC biographical affidavit is required for new officers or directors listed on the NAIC Jurat page of the annual statement within a reasonable time frame.
Wisconsin NAIC Biographical Affidavit. NAIC biographical affidavit is not required for new officers, please notify changes in writing.
Wyoming NAIC Biographical Affidavit and Independent Third-Party Verification. NAIC biographical affidavit is required for new president, only within 90 days.

Download as PDF: Biographical Affidavit State by State Requirements [PDF 142KB]


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