Section 26-A1602. FORMS - GENERAL REQUIREMENTS

 

1602.1Forms A, B, C, D, E, and F set forth in the appendix to chapter, are intended to be guides in the preparation of the statements required by Sections 3, 4, and 5 of this Act. They are not intended to be blank forms which are to be filled in. These statements filed shall contain the numbers and captions of all items, but the text of the items may be omitted provided the answers thereto are prepared in such a manner as to indicate clearly the scope and coverage of the items. All instructions, whether appearing under the items of the form or elsewhere therein, are to be omitted. Unless expressly provided otherwise, if any item is inapplicable or the answer thereto is in the negative, an appropriate statement to that effect shall be made.

 

1602.2Two complete copies of each statement including exhibits and all other papers and documents filed as a part thereof, shall be filed with Commissioner by personal delivery or mail addressed to:  Department of Insurance, Securities and Banking, 810 First Street, N.E., Suite 701, Washington, D.C. 20002. At least one of the copies shall be signed in a manner prescribed on the form. Unsigned copies shall be conformed. If the signature of any person is affixed pursuant to a power of attorney or other similar authority, a copy of such power of attorney or other authority shall also be filed with the statement.

 

1602.2aIf an applicant requests a hearing on a consolidated basis under Section 4(g)(3A) of the Act, in addition to filing the Form A with the commissioner, the applicant shall file a copy of Form A with the National Association of Insurance Commissioners (NAIC) in electronic form.

 

1602.3Statements should be prepared electronically. Statements shall be easily readable and suitable for review and reproduction.   All copies of any statement, financial statements, or exhibits shall be clear, easily readable and suitable for photocopying. Debits in credit categories and credits in debit categories shall be designated so as to be clearly distinguishable as such on photocopies. Statements shall be in the English language and monetary values shall be stated in U.S. currency. If any exhibit or other paper or document filed with the statement is in a foreign language, it shall be accompanied by a translation into the English language and any monetary value shown in a foreign currency normally shall be converted into United States currency.

 

 

authority

Section 10 of the Holding Company System Act of 1993, effective October 21, 1993 (D.C. Law 10-44; D.C. Official Code § 31-701 (2013 Repl.)), and Section 4(a) of the Department of Insurance and Securities Regulation Establishment Act of 1996, effective March 21, 1997 (D.C. Law 11-268; D.C. Official Code § 31-103(a)(1) (2013 Repl.)).

source

33 DCRR § 875.9 (March 1975); as amended by Final Rulemaking published at 41 DCR 2185 (April 22, 1994); as amended by Final Rulemaking published at 62 DCR 13004 (October 2, 2015).

EditorNote

These regulations were originally promulgated pursuant to the authority granted in D.C. Official Code § 35-1908 (1973 ed.), and Commissioner’s Order 74-231, dated November 6, 1974.