New IIPRC SERFF Enhancement -- Associated Filing

In the August 1st release of SERFF, an enhancement for Insurance Compact filings was included.  We are very excited to announce that company filers are now capable of linking associated filings specifically new filings such as riders, endorsements, amendments, and/or applications to previously-submitted Insurance Compact filings such as policies or contracts.  If the forms in a Compact filing are being used with forms in a previously-approved Compact filing, we are encouraging (and will soon require) that these filings be listed in the Associated Filings List.  Please note – only associated Compact filings may be listed here as associated state-approved filings still must be listed under the Statement of Intent Schedule of a mix-and-match filing.  

This new enhancement, Associated Filings, will allow filers to link Insurance Compact filings with other related Insurance Compact filings.   Associated Filings is a feature that allows the industry user to add the SERFF Tracking Number for other Compact filings that will be used or are related to a Compact filing.   Once a SERFF Tracking Number is entered in the Associated Filings list, both the user, the IIPRC Office and the states included on the associated filing will be able to view both filings and jump back and forth between the current filing and the associated filing via a simple hyperlink.  

As of September 1, 2014, new filings will be required to populate the Associated Filings with the SERFF Tracking Number of Compact filings that will be used or are related to the new Compact filing in order to satisfy the requirement in Section 103(d) of the Operating Procedure for the Filing and Approval of Product Filings that requires at “the time a Product Filing is made, the Product Filer shall identify whether the Product Filing will be used with a Commission Product Component previously approved by or pending with the Commission.”  Once a filing has been associated to a previously-submitted Compact filing, this associated filing can be accessed through the  “View Associated Filings” link in the upper right hand corner of the Filing at a Glance section in the previously submitted filing. If a state is included on the associated filing, it will be able to view the associated filings related to the Compact filing. Please note that this association is for Compact filings only and that completion of the Statement of Intent schedule is still required for mix and match submissions.

State regulators will be able to see the associations that the Company filers make by clicking on “View Associated Filings”.  If the state is not included on any of the associated filings then you will not see any associations.  When a company makes an association Messages are generated in the Message Center.  Users will need to manually enable the message types “Filing Association Created” and “Filing Association Deleted” in order to properly received the messages.  The Associations will also appear in the Filing Logs for the applicable filing submissions.  The Insurance Compact has step-by-step instructions for using the new enhancement of the Insurance Company Resources page of the website.  All filers are being encouraged to review these.  Beginning on page 3 of these step-by-step instructions are the instructions for reviewers to view these associations. 

If you have any questions about this new enhancement, please contact the Insurance Compact Office.

About the Commission

Currently, 44 jurisdictions have joined the Interstate Insurance Product Regulation Commission (IIPRC). Compacting members are Alabama, Alaska, Arizona, Arkansas, Colorado, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin and Wyoming.

The IIPRC enables state insurance regulators to develop uniform national standards for asset protection insurance products, such as life insurance, annuities, disability income and long-term care insurance. The IIPRC establishes a central filing point for these insurance products, enhancing the speed and efficiency of regulatory decisions and allowing companies to compete more effectively in the modern financial marketplace, while continuing to provide protection for consumers.

For more information, visit


© 2014 Interstate Insurance Product Regulation Commission. All rights reserved.