Utah Admin. Code R590-226-6 - Procedures for Filings
(1) Forms in
General.
(a) A form is a file and use
filing.
(b) A form shall be
identified by a unique form number that may not be variable.
(c) A form shall be in final printed form and
may not be submitted as a draft.
(d) Blank spaces within a form shall be
completed to accurately represent the purpose and use.
(i) If the intended market is for a senior
age market, the form shall be completed with data representative of senior
insureds.
(ii) Any data in a form,
including the data page , shall be consistent with the actuarial memorandum, the
basic illustration, the statement of policy cost and benefit information, and
the application, as applicable.
(2) Application Filing.
(a) An application or enrollment form may be
submitted as a separate filing or filed with its related policy or certificate
filing.
(b) If an application was
previously filed or is filed separately, an informational copy of the
application shall be included with the policy or certificate filing.
(c) The Utah filed date or SERFF tracking
number for the application shall be included in the filing
description.
(3) Policy
Filing.
(a) Each TOI shall be filed
separately.
(b) A policy filing
consists of one policy form, including the application, data page , certificate,
rider, endorsement, and actuarial memorandum.
(c) A policy data page shall be included with
each policy filing.
(d)
(i) Only one policy filing for a single TOI
may be filed.
(ii) A life insurance
policy with different premium payment periods is considered one form.
(4) Rider or Endorsement
Filing.
(a) Related riders or endorsements may
be filed together.
(b) A single
rider or endorsement that affects multiple forms may be filed if the filing
description references each affected form.
(c) A rider or endorsement that is based on
morbidity risks, such as critical illness or long-term care, is accident and
health insurance and shall be filed under Rule R590-220.
(d) The filing description shall include:
(i) a list of each policy form number, title,
and Utah filed date or SERFF tracking number;
(ii) a description of how each filed rider or
endorsement affects the policy; and
(iii) a data page with data for the submitted
form.
(e) Unrelated
riders or endorsements may not be filed together.
Notes
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