Fingerprint and Biographical Affidavit Requirements: A Link To The Application Instructions For and and

Fingerprint and Biographical Affidavit Requirements
A link to the Application instructions for Primary Application, Section II, Filing Requirement Item 13; Expansion Application, Section II, Filing
Requirement Item 12; and Corporate Amendment Application Section V, Filing Requirement Item 9 and Section VI, Filing Requirement Item 6.
“” Updates to the State-Specific Information
State Domiciliary Requirements Non-Domestic Requirements For Licensure Non-Domestic Requirements
Licensure (Primary) and (Expansion or Corporate Amendment After Licensure
After Licensure Application) (Updates only)
AL Contact State Directly for Requirements NAIC biographical affidavit and Independent Third- If requested a NAIC biographical affidavit is
Party Verification. required for new officers/directors of foreign
insurers, within 15 days of request.
Group Cover Letter: Not Specified Group Cover Letter: Not Specified
AK Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit is not
Third-Party Verification Party Verification required for new officers or directors.
After Licensure: NOTE: Verification reports should be sent to the state
NAIC Biographical Affidavits are not required. at the time of submission of the application. Reports
Group Cover Letter: Acceptable received without an application pending will be Group Cover Letter: Not Acceptable
destroyed.
AZ Licensure: NAIC Biographical Affidavit AND Independent NAIC Biographical Affidavit AND Independent Third- NAIC biographical affidavit is not required for
Third-Party Verification Party Verification. new officers or directors.
After Licensure:
NAIC Biographical Affidavits are required for changes in
Officers, Directors or Key Managerial Personnel.
Group Cover Letter: Acceptable Group Cover Letter: Acceptable
AR Licensure: NAIC biographical affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavits are not required
Third-Party Verification. Party Verifications. for new officers or a director, assuming the
After Licensure: NAIC Biographical Affidavits are required domestic state is reviewing changes.
for changes in Officers, Directors or Key Managerial
Personnel. Group Cover Letter: Biographical Affidavits
Group Cover Letter: Not Acceptable not required, unless they are not filed with
the domestic state.
CA Primary: Fingerprints and NAIC biographical affidavits. NAIC Biographical Affidavit and Fingerprint live NAIC Biographical Affidavit and Finger print
Please contact California's Department of Insurance directly scans, please contact California's Department of live scan is required for new officers,/directors
at (415) 538-4035 to request the necessary fingerprint live Insurance directly at (415) 538-4035 to request the within a reasonable time.
scan necessary fingerprint live scan, forms and information.
After Licensure: NAIC Biographical affidavits are required
© 2020 National Association of Insurance Commissioners 1 01/31/2020
CA Personnel.
(cont) Group Cover Letter: Not Specified Group Cover Letter: Not Specified
CO Contact State Directly for Requirements NAIC Biographical Affidavits and Independent Third- NAIC biographical affidavit is not required for
Party Verification reports for all foreign companies. new officers or directors.
CT Licensure: NAIC Biographical Affidavits and Independent Expansion: A NAIC biographical affidavit is required for
Third-party Verification. NAIC Biographical Affidavits and Independent Third- new officers/directors as soon as possible.
After Licensure: NAIC Biographical Affidavits are required party Verification.
when there is a change in Officers, Directors or Key License/Corporate Amendment:
Managerial Personnel.
NAIC biographical affidavits are required for new Group Cover Letter: Acceptable
Group Cover Letter: Acceptable
officers/directors if not previously provided.
DE Licensure: NAIC Biographical Affidavit and Third-Party NAIC Biographical Affidavit. A NAIC biographical affidavit is required for
verification. new officers or directors listed on the NAIC
After Licensure: NAIC Biographical Affidavits are required Jurat page of the annual statement within 60
for changes in Officers, Directors or Key Managerial days.
Personnel.
DC Contact State Directly for Requirements NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit is not required for
Party Verification new officers or directors.
FL Licensure: NAIC Biographical Affidavit, Independent Third- NAIC Biographical Affidavit, Independent Third- A NAIC biographical affidavit is required for
Party Verification and Fingerprint Cards (Fingerprint Party Verification and Fingerprint Cards (Fingerprint new key officers.
LiveScan available for Florida Residents Only). Refer to LiveScan available for Florida Residents Only).
State Specific Requirements for Fingerprint Procedures. Refer to State Specific Requirements for Fingerprint
Please contact the Office of Insurance Regulation at (850) Procedures. Please contact the Office of Insurance
413-2575 to request the necessary fingerprint cards or Regulation at (850) 413-2575 to request the
FPRequest@floir.com. Effective August 16, 2007, Florida necessary fingerprint cards or
no longer requires credit reports with the background FPRequest@floir.com. Effective August 16, 2007,
investigations. Florida no longer requires credit reports with the
Group Cover Letter: Acceptable background investigations. Group Cover Letter: Acceptable
GA Contact State Directly for Requirements NAIC Biographical Affidavit and Independent Third- Contact state for requirements.
Group Cover Letter: Not Acceptable Party Verification Group Cover Letter: Acceptable
HI Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit is required for new
Third-Party Verification Party Verification officers when filing for Mergers and
After Licensure: A NAIC Biographical affidavit and Acquisitions only.
Independent third-party verification report is required for
changes in Officers, Directors or Key Managerial Personnel.

ID Contact State Directly for Requirements NAIC Biographical Affidavit and Independent Third- A NAIC biographical affidavit and Independent
Party Verification Third-Party Verification report is not required
for new officers or directors provided the
company files annual and quarterly financial
statements electronically with the NAIC.
Foreign insurers licensed in Idaho are not
required to file separate notices of changes in
officers and directors.
Group Cover Letter: Biographical Affidavit
Group Cover Letter: Not Acceptable not required.
IL Licensure: NAIC Biographical Affidavits with original NAIC Biographical Affidavits for all foreign NAIC Biographical Affidavit is required for
signatures required for all domestic companies’ Officers and companies (original signatures for Expansion new officers or directors. Notification of a
Directors. Independent Third Party Verification Reports are Applications). Independent Third-Party Verification change in officers or directors is required within
required for all Officers and Directors. Reports are required for each Officer and Director 30 days. Independent Third-Party Verifications
After Licensure: NAIC Biographical Affidavits with original of the applicant. are required for new officers and directors.
signatures are required for changes in Officers or Directors;
Independent Third-Party Verification are required for new
Officers or Directors. Notification of a change in officers or
directors is required within 30 days.
IN Licensure: Indiana Biographical Affidavits with original Indiana Biographical Affidavits with original signature Notification of a change in officers or directors
signature and Independent Third- Party Verification and Independent Third-Party Verification. is required within 30 days.
required for all domestic companies An Indiana Biographical Affidavits and
After Licensure: Originally signed Indiana Biographical Independent Third-Party Verification upon
Affidavits are required for changes in Officers, Directors or request for new officers or directors.
Key Managerial Personnel.
IA Contact State Directly for Requirements NAIC Biographical Affidavit and Independent NAIC biographical affidavit is not required for
Third-Party Verification. new officers or directors.
KS Licensure: NAIC Biographical Affidavit and Independent Expansion --- NAIC Biographical Affidavit and NAIC biographical affidavit is not required for
Third-Party Verification. Independent Third- Party Verification. new officers and directors. Notification required
After Licensure: NAIC Biographical Affidavit for changes in via the Kansas “DESK–TOP” system of any
officers and directors as listed on page one of the annual change in President or Corporate Secretary.
statement within 30 days after the changes or actions become
effective or are otherwise finalized.

KY Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent NAIC biographical affidavit is required for new
Third-Party Verification Third-Party Verification. President’s only, within 30 days.
After Licensure: Biographical Affidavits are required for
changes in Officers, Directors or Key Managerial Personnel.
Group Cover Letter: Not Acceptable Group Cover Letter: Acceptable
LA Licensure: Complete biographical affidavits (Form 11) on Expansion Application: Complete biographical Completed biographical affidavits (Form 11) on
most current form for all officers and directors. Independent affidavits (Form 11) on most current form for all the most current form must be submitted for all
Third-Party Verifications required for all officers and officers and directors. Independent Third-Party “senior officers” as defined by state law and for
directors. Domestic applicants must submit fingerprints in Verifications required for all officers and directors. all directors within sixty days of election or
compliance with the state requirements. More information on Corporate Amendment Applications: Complete appointment. Independent Third-party
fingerprint requirements at biographical affidavits (Form 11) on any new officers verifications are not required. For information
http://www.ldi.la.gov/industry/company- and directors added as a result of the transaction. on how to file see
licensing/application-forms/ucaa/primary-application. http://www.ldi.la.gov/industry/company-
licensing/new-officers-and-directors-for-
foreign-and-alien-insurers.
Group Cover Letter: Not Acceptable Group Cover Letter: Acceptable
ME Licensure: NAIC Biographical Affidavits and Independent NAIC Biographical Affidavit and Independent Third- NAIC Biographical Affidavit is NOT required
Third-Party Verification. Party Verification. for new officers or directors. Letter of
After Licensure: NAIC Biographical Affidavits are required notification for changes/updates is also NOT
for new Officers, Directors or Key Managerial Personnel. required.
Group Cover Letter: Not Acceptable not required.
MD Licensure: NAIC Biographical Affidavits and Independent NAIC Biographical Affidavit certified by Independent NAIC biographical affidavit is not required for
Third-Party Verification. Third-Party Verification. new officers or directors.
After Licensure: NAIC Biographical Affidavits with
original signatures are required for changes in Officers,
Directors. Independent Third-Party Verifications are
required for new Officers or Directors. Notification of a
change in officers or directors is required within 3- days.
MA Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit required for officers and NAIC biographical affidavits are not required
Third-Party Verifications directors of all Applicant Companies. for new officers and directors of foreign
After Licensure: NAIC Biographical Affidavits are required companies. In lieu of biographies a letter of
for changes in Officers, Directors or Key Managerial notification is required for any changes in
Personnel. officers or directors submitted electronically to
All questions should be directed to companies.mailbox@state.ma.us.
companies.mailbox@mass.gov.

MI Licensure: Expansion: NAIC Biographical Affidavits and Independent
NAIC Biographical Affidavit and Independent Third-Party NAIC Biographical Affidavits and Independent Third- Third-Party Verifications are NOT required.
Verification. Party Verifications are required.
After Licensure: NAIC Biographical Affidavit and Corporate Amendments:
Independent Third-Party Verification are required for NAIC Biographical Affidavits and Independent Third-
changes in Officers, Directors or Key Managerial Personnel. Party Verifications are NOT required.
Group Cover Letter: Acceptable not required.
MN Licensure: NAIC biographical Affidavit and Independent NAIC biographical affidavit and Independent Third- NAIC biographical affidavit and Independent
Third-Party Verifications are required for Primary Party Verifications are required for Expansion Third-Party Verifications are not required for
Applications. Signatures must be original. Applications only. Signatures must be original. new officers and directors.
After Licensure: Only the biographical affidavit is required.
MS Licensure: NAIC Biographical Affidavit NAIC Biographical Affidavit NAIC biographical affidavit is not required for
NAIC Biographical Affidavits and Independent Third-Party new officers or directors. A letter of notification
Verifications are required for changes in Officers, Directors is required for any changes in officers or
or Key Managerial for primary applications and after directors submitted electronically to
licensure. filings@mid.ms.gov.
MO Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent NAIC biographical affidavits are not required
Third-Party Verification. Third-Party Verification. for new officers or directors. A letter of
notification is required for any changes in
officers and directors submitted to the
Admissions Specialist.
MT Licensure: NAIC Biographical Affidavit NAIC Biographical Affidavit NAIC biographical affidavit is not required for
After Licensure: NAIC Biographical Affidavits are required new officers or directors.
Personnel.
NE Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit is not required for
Third-Party Verification. Party Verification. new officers or directors.
After Licensure: NAIC Biographical Affidavits are required
Personnel.
NV Licensure: NAIC Biographical Affidavit and Independent Expansion: Listing required within 90 days, indicating new
Third-Party Verification Listing of Officers, Directors and Key Managerial Officers, Directors and Key Managerial
After Licensure: NAIC Biographical Affidavits and Personnel. Personnel.
Independent Third-Party Verifications are required for
NV changes in Officers, Directors and Key Managerial
(cont) Personnel.
NH Licensure: NAIC Biographical Affidavit NAIC Biographical Affidavit NAIC biographical affidavit is not required for
Personnel.
NJ Primary and After Licensure P&C: NAIC Biographical P&C: NAIC Biographical Affidavit P&C and L&H: NAIC Biographical Affidavit
Affidavit and criminal history record check by the New L&H: NAIC Biographical Affidavit and Independent and a letter of notification is required for any
Jersey State Police. Contact the Department to request the Third-Party Verfiication. changes in officers or directors.
necessary forms (Solvency Regulation 609-292-5350).
Primary and After Licensure L&H: NAIC Biographical
Affidavit and Independent Third-Party Verification.
NM Contact State Directly for Requirements NAIC Biographical Affidavit and Independent Third- A letter of notification is required for any
Party Verification changes in officers and directors.
Group Cover Letter: Not Acceptable Group Cover Letter: Not Acceptable
NY Contact State Directly for Requirements NAIC Biographical Affidavit and Fingerprint Cards Contact state for requirements.
NC Licensure: NAIC Biographical Affidavit and Fingerprint NAIC Biographical Affidavit NAIC biographical affidavit is not required for
Cards new officers or directors.
Personnel.
ND Licensure: NAIC Biographical Affidavit and Independent Expansion: NAIC Biographical Affidavit and NAIC biographical affidavit is not required for
Third-Party Verification Independent Third-Party Verification new officers or directors.
Personnel.
OH Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit is not required for
Third-Party Verification Party Verification new officers or directors.
Personnel.
Group Cover Letter: Biographical Affidavits
OK Licensure: NAIC Biographical Affidavit and Independent Expansion: NAIC Biographical Affidavit and Informational filing only written on company
OK Third-Party Verification – no fingerprints. Independent Third-Party Verification is required – no letterhead. Oklahoma will rely on the review of
(cont) After Licensure: NAIC Biographical Affidavits and fingerprints. biographical affidavits by the domiciliary
Independent Third-Party Verifications are required for Corporate Amendment: Oklahoma will rely on the regulator; therefore no NAIC biographical
changes in Officers, Directors or Key Managerial Personnel. review of biographical affidavits by the domiciliary affidavit will be required for new officers or
regulator; therefore no NAIC biographical affidavit directors of foreign/alien companies. A PDF
will be required for new officers or directors of copy of the letter can be emailed to
foreign/alien companies. UCAA@oid.ok.gov to eliminate paper and
postage.
OR Licensure: Biographical affidavit Biographical affidavit for all officers and directors of NAIC biographical affidavit is not required for
After Licensure: NAIC Biographical Affidavits are required the company as listed on the jurat page of the filed new officers or directors.
for changes in Officers, Directors or Key Managerial statement.
Personnel.

PA Licensure: NAIC Biographical Affidavit NAIC Biographical Affidavit Neither NAIC biographical affidavits nor any
After Licensure: NAIC Biographical Affidavits are required other notification is required for new officers or
for changes in Officers, Directors or Key Managerial directors of admitted foreign insurers.
Personnel.
PR Contact State Directly for Requirements N/A N/A
RI Licensure: NAIC Biographical Affidavit. Rhode Island will no longer require the Independent NAIC biographical affidavit is required for new
After Licensure: NAIC Biographical Affidavits are required Third-Party Verifications. Rhode Island will only officers and directors within a reasonable time
for changes in Officers, Directors or Key Managerial require the NAIC Biographical Affidavit. frame.
Personnel.
SC Licensure: NAIC Biographical Affidavit and Independent Expansion: NAIC Biographical Affidavit and NAIC biographical affidavit is not required for
Third-Party Verification Independent Third-Party Verification new officers or directors.
After Licensure: NAIC Biographical Affidavits are required Corporate Amendment: NAIC Biographical Affidavit
for changes in Officers, Directors or Key Managerial is not required for new officers or directors
Personnel.
SD Licensure: NAIC Biographical Affidavit DO NOT SUBMIT: Biographical Affidavits or NAIC biographical affidavit is not required for
After Licensure: NAIC Biographical Affidavits are required employee organizational charts for foreign insurance new officers or directors.
for changes in Officers, Directors or Key Managerial companies. They are not required of foreign companies
Personnel. at any time.
TN Licensure: NAIC Biographical Affidavit Expansion: NAIC Biographical Affidavit None to Tennessee (if filed with the domiciliary
After Licensure: NAIC Biographical Affidavits are required Corporate Amendment: None to Tennessee (if filed state)
for changes in Officers, Directors or Key Managerial with the domiciliary state)
Personnel.
TX Licensure: Submit biographical information pursuant to Submit biographical information pursuant to UCAA NAIC biographical affidavit and fingerprint
UCAA instructions and requirements. For fingerprint card instructions and requirements. For fingerprint card card are required for new key officers within 30
information, please see information, please see days.
http://www.tdi.texas.gov/licensing/company/index.html. http://www.tdi.texas.gov/licensing/company/index.htm
l.
Fingerprints are needed for TX domestic companies- top
executive officers and directors; Texas strongly recommends Fingerprints are needed for; TX foreign companies- top
submitting digital fingerprint cards, as the cards are accurate three executive officers (i.e. Pres/CEO, Treasurer/CFO,
and processing time is much faster. Ink print cards require Secretary/General Counsel). Texas strongly
longer processing times and are very susceptible to recommends submitting digital fingerprint cards, as the
inaccuracies that may require multiple submissions. 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
Group Cover Letter: Not Specified
Group Cover Letter: Not Specified multiple submissions.
UT Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- A letter is required listing changes for additions
Third-Party Verification. Party Verification. and/or removals.
After Licensure: NAIC Biographical Affidavit and Additions: Name, Position, effective start date.
Independent Third-Party Verification are required for Removals: Name, Position, effective separation
changes in Directors, Officers and Key Managerial date and state “for cause” or “not for cause.”
Personnel of domestic company or ultimate controlling Emails preferred over postal mail.
person.
VT Licensure: NAIC Biographical Affidavit; Third Party For Licensure Expansion: NAIC Biographical After Licensure Updates: NAIC Biographical
Verification may be required. Affidavit. Affidavit is not required for new officers or
After Licensure Updates: NAIC Biographical Affidavit; Corporate Amendments: NAIC Biographical Affidavit directors.
Independent Third Party Verification may be required. is not required for new officers or directors.
VA Licensure: NAIC Biographical Affidavit and Independent NAIC Biographical Affidavit and Independent Third- NAIC biographical affidavit and Independent
Third-Party Verification. Party Verification. Third-Party Verification are not required for
Personnel.

WA Licensure: NAIC Biographical Affidavit and Independent Licensure: NAIC Biographical Affidavit and NAIC biographical affidavit is not required for
Third-Party Verification. Independent Third-Party Verification. new officers or directors.
Personnel. Domestic insurers must file a biographical
affidavit every thirty-six months after the last biographical
affidavit filed.
WV Licensure: NAIC Biographical Affidavit is required. Expansion: NAIC Biographical Affidavit is required. After Licensure: NAIC Biographical Affidavit
After Licensure: NAIC Biographical Affidavit is required for and Notifications are not required for new
new officers and/or directors AND amendments to officers officers and/or directors OR amendments to
and/or directors. officers and/or directors.
WI Licensure: NAIC Biographical Affidavit required (but not Expansion: NAIC Biographical Affidavit required (but Written notices for any changes in the company
fingerprints or Independent third-party verifications) not fingerprints or Independent third-party president or secretary. (Bios, Fingerprints and
After Licensure: NAIC Biographical Affidavit required for verifications) Independent Third-Party Verifications are not
any changes in Directors, Officers or Key Managers (but not Corporate Amendment: NAIC Biographical Affidavits required.)
fingerprint or Independent third-party verifications). are required for the office of President and/or Chief
Executive Officer (CEO) only, or the changes of those
officers. Independent Third-Party Verifications are not
Group Cover Letter: Acceptable required. Group Cover Letter: Acceptable
WY Licensure: NAIC Biographical Affidavit and Independent Expansion: NAIC Biographical Affidavit and NAIC biographical affidavit is only required for
Third-Party Verification. Independent Third-Party Verification. new President/CEO, within 90 days.
After Licensure: NAIC Biographical Affidavits are required Corporate Amendment: NAIC Biographical Affidavit
for changes in Officers, Directors or Key Managerial are required for the office of President and/or Chief
Personnel. Executive Officer (CEO) only, or the changes of those
officers. Independent Third-Party Verifications are
Group Cover Letter: Acceptable NOT required. Group Cover Letter: Acceptable
Group Cover Letters can be used for annual updates and/or changes in officers and directors after licensure. Group Cover Letters should not be used in conjunction with a
UCAA application, company specific biographical affidavits are required.

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© 2020 National Association of Insurance Commissioners 2 01/31/2020

© 2020 National Association of Insurance Commissioners 3 01/31/2020

© 2020 National Association of Insurance Commissioners 4 01/31/2020

Group Cover Letter: Acceptable Group Cover Letter: Acceptable

© 2020 National Association of Insurance Commissioners 8 01/31/2020

© 2020 National Association of Insurance Commissioners 9 01/31/2020

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