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RULE §7.201Forms Filings

(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 website.

  (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 the submission.

  (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 by reference.

  (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 title.

  (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

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