|(a) General requirements.
(1) The forms specified in §§7.209 - 7.214
of this title (relating to Form A, Form B, Form C, Form D, Form E,
and Form F, respectively) are guides for preparing the statements,
notices, and applications required by Insurance Code Chapter 823.
They provide notice of the information required and the location the
department expects to find it. In preparing any statement, notice,
or application, the text of the form need not be repeated so long
as it is clear to which matter the answer or material applies. Unless
expressly provided otherwise, if any item is inapplicable or the answer
is in the negative, an appropriate statement to that effect must be
made. The forms specified in §§7.209 - 7.214 of this title
are also referred to in this subchapter as Forms A - F. Form A is
also referred to as the acquisition or divestiture statement, Form
B as the registration statement, Form C as the summary of changes
to the registration statement, Form D as prior notice of a transaction,
Form E as a notice of dividend or distribution, and Form F as an enterprise
risk report. For use in accord with §7.209(d) and (f) of this
title, the department adopts by reference the latest version of the
biographical affidavit form published by and available from the National
Association of Insurance Commissioners and available on the department
(2) Two complete originally signed copies (unless additional
copies are requested by the commissioner) of each statement, notice,
or application, including exhibits and all other papers and documents
filed in connection with any acquisition statement filed under §7.209
of this title, and one complete originally signed copy of every other
statement, notice, or application, including exhibits and all other
papers and documents filed, must be filed with the commissioner by
personal delivery or by mail addressed to: Financial Analysis, Mail
Code 303-1A, Texas Department of Insurance, P.O. Box 149104, 333 Guadalupe,
Austin, Texas 78714-9104. Each statement, notice, or application will
be subject to the appropriate filing fee provided in §7.1301
of this title (relating to Regulatory Fees). The appropriate filing
fee must be forwarded to the Cashier's Office, Mail Code 9999, at
the previously stated address under separate cover along with the
Fee Transmittal Form available on the department website.
(3) Statements, notices, and applications should be
prepared on paper 8 1/2 inches by 11 inches or 8 1/2 inches by 14
inches in size and preferably bound at the top or top lefthand corner.
All copies of any statement, notice, application, exhibit, or financial
statement must be clear, easily readable, and suitable for photocopying.
Debit in credit categories and credits in debit categories must be
designated so as to be clearly distinguishable on photocopies. Statements,
notices, and applications must be in English and monetary values must
be stated in United States currency. If any exhibit or other paper
or document filed with a statement, notice, or application is in a
foreign language, it must be accompanied by a translation into English
and any monetary value shown in a foreign currency must be converted
into United States currency with the rate of exchange disclosed in
(4) Every statement, notice, or application must state
on the cover page the names and addresses of all persons on whose
behalf it is made.
(b) Incorporation by reference, summaries, and omissions.
(1) Information required by any item of any statement,
notice, or application may be incorporated by reference in answer
or partial answer to another item. Information contained in any instrument
or document filed with the commissioner within five years and currently
remaining on file may be incorporated by reference. The reference
must clearly identify the material and indicate it is incorporated
(2) The right to incorporate by reference does not
apply to §7.209 of this title or to a completely restated up-to-date
registration statement filed in accord with §7.203(g) of this
title (relating to Registration of Insurers) and §7.210 of this
(3) Where an item requires a summary or outline of
the provisions of any document, only a brief statement must be made
as to the most important provisions of the document. In addition to
the statement, the summary or outline may incorporate by reference
particular parts of any exhibit or document for which reference is
allowed by these sections. The particular page and paragraph of the
exhibit or document to which reference is made must be specified.
If two or more documents required to be attached as exhibits are substantially
identical in all material respects, a copy of only one of the documents
need be filed. A schedule must be attached identifying and detailing
the ways the other document differs from the filed exhibit.
(4) By use of a reference, the person filing is deemed
to have verified the accuracy of the information referred to as though
it was an original statement, unless the person filing identifies
the information as being not verified by the person filing.
(c) Additional information and exhibits. In addition
to the information expressly required to be included in the forms
set out in these sections the filer must add any further material
information needed to make the information contained not misleading.
The person filing may also file exhibits in addition to those expressly
required. The exhibits must be so marked as to indicate clearly the
subject matters to which they refer.
(d) Amendment. Any amendment to a statement, notice,
or application must include on the top of the cover page the phrase
"Amendment No." and must indicate the date of amendment and not the
date of the original filing.
(e) Information unknown or unavailable. If any required
information is unknown and not reasonably available to the person
filing, either because obtaining the information would involve unreasonable
effort or expense, or because it rests peculiarly within the knowledge
of another person not affiliated with the person filing, the information
may be omitted, subject to the following conditions:
(1) The person filing must give the information on
the subject as the person possesses or can acquire without unreasonable
effort or expense, together with the sources.
(2) The person filing must include a statement either
demonstrating that unreasonable effort or expense would be involved
or indicating the absence of any affiliation with the person within
whose knowledge the information rests and stating the result of a
request made to the person for the information.
|Source Note: The provisions of this §7.201 adopted to be effective January 1, 1976; amended to be effective November 30, 1984, 9 TexReg 5926; amended to be effective April 29, 1988, 13 TexReg 1761; amended to be effective April 13, 1992, 17 TexReg 2273; amended to be effective December 24, 1993, 18 TexReg 9310; amended to be effective July 14, 1994, 19 TexReg 5098; amended to be effective May 15, 1996, 21 TexReg 3798; amended to be effective May 5, 2002, 27 TexReg 3559; amended to be effective May 26, 2013, 38 TexReg 3033