Supporting Documentation Update (SDU) Filing Type Reminders

The Insurance Compact has a specific filing type, Supporting Documentation Update (SDU), to be used to accommodate certain updates to Compact approved filings.  You should become familiar with the specific situations appropriate for SDU filings by reviewing Filing Information Notice 2017-1: Process for Revisions to Forms and Supporting Documentation in Compact Filings (FIN 2017-1) and if you have further questions after reviewing the FIN, read through the FIN 2017-1 FAQ, available on the Industry Resources page of the Insurance Compact website, to see if your question has already been addressed.

It is important to remember that this filing type does not permit any attachments under the Form Schedule tab or entries under the Statement of Intent tab. The Compact Office frequently sees filers mistakenly selecting the (SDU) filing type and then providing a form on the Form Schedule tab.  If your filing is made to update supporting documentation and includes forms under the Form Schedule tab, the SDU filing type is never appropriate due to the presence of an attachment under the Form Schedule tab.  An easy way to determine if the SDU filing type is appropriate is to confirm there are no attachments or entries under either the Form Schedule tab or Statement of Intent tab.  If there are entries under either tab, the SDU filing type should not be used.  If a submission is made where the SDU filing type was incorrectly used, the filer will be directed to withdraw the filing and re-submit under the appropriate filing type.  Please be advised fees on the withdrawn filing cannot be refunded.

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