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TITLE COMPANIES

Click here for a printable table form of the checklist for Title Companies in Word or Adobe PDF format.

Company Name:_______________________   NAIC Company Code: _________
Contact:_____________________________   Telephone: _________________
REQUIRED FILINGS IN THE STATE OF: Maine   Filings Made During the Year 2015

(1)

Checklist

(2)

Line #

(3)

REQUIRED FILING FOR THE ABOVE  STATE

(4)
NUMBER OF COPIES*

(5)

DUE DATE

(6)
FORM SOURCE**

(7)
APPLICABLE NOTES

Domestic

Foreign

State

NAIC

State

 

 

I.  NAIC FINANCIAL STATEMENTS

 

 

1

Annual Statement (8 ½” x 14”)

xxx

EO

xxx

3/1

NAIC

 

 

1.1

Printed Investment Schedule detail (Pages E01-E27)

xxx

EO

xxx

3/1

NAIC

 

 

2

Quarterly Financial Statement (8 ½” x 14”)

xxx

EO

xxx

5/15, 8/15, 11/15

NAIC

 

 

 

 

 

 

 

 

 

 

 

 

II.  NAIC SUPPLEMENTS

 

 

11

Actuarial Opinion

xxx

EO

xxx

3/1

Company

 

 

12

Investment Risk Interrogatories

xxx

EO

xxx

4/1

NAIC

 

 

13

Management Discussion & Analysis

xxx

EO

xxx

4/1

Company

 

 

14

Schedule SIS

xxx

N/A

N/A

3/1

NAIC

 

 

15

Supplemental Compensation Exhibit

xxx

N/A

N/A

3/1

NAIC

 

 

16

Supplemental Schedule of Business Written By Agency

xxx

EO

xxx

4/1

NAIC

 

 

 

 

 

 

 

 

 

 

 

 

III.  ELECTRONIC FILING REQUIREMENTS

 

 

60

Annual Statement Electronic Filing

xxx

EO

xxx

3/1

NAIC

 

 

61

March .PDF Filing

xxx

EO

xxx

3/1

NAIC

 

 

62

Supplemental Electronic Filing

xxx

EO

xxx

4/1

NAIC

 

 

63

Supplemental .PDF Filing

xxx

EO

xxx

4/1

NAIC

 

 

64

Quarterly Statement Electronic Filing

xxx

EO

xxx

5/15, 8/15, 11/15

NAIC

 

 

65

Quarterly .PDF Filing

xxx

EO

xxx

5/15, 8/15, 11/15

NAIC

 

 

66

June .PDF Filing

xxx

EO

xxx

6/1

NAIC

 

 

 

 

 

 

 

 

 

 

 

 

IV.  AUDIT/INTERNAL CONTROL
RELATED REPORTS

 

 

81

Accountants Letter of Qualifications

xxx

EO

N/A

6/1

Company

 

 

82

Audited Financial Reports

xxx

EO

xxx

6/1

Company

 

 

83

Audited Financial Reports Exemption Affidavit

xxx

N/A

N/A

 

Company

 

 

84

Communication of Internal Control Related Matters Noted in Audit

 xxx

N/A

N/A

8/1

Company

 

 

85

Independent CPA (change)

xxx

N/A

N/A

 

Company

 

 

86

Management’s Report of Internal Control Over Financial Reporting

xxx

N/A

N/A

8/1

Company

 

 

87

Notification of Adverse Financial Condition

xxx

N/A

N/A

 

Company

 

 

88

Request for Exemption to File

xxx

N/A

N/A

 

Company

 

 

89

Relief from the five-year rotation requirement for lead audit partner

xxx

EO

N/A

3/1

Company

 

 

90

Relief from the one-year cooling off period for independent CPA

xxx

EO

N/A

3/1

Company

 

 

91

Relief from the Requirements for Audit Committees

xxx

EO

N/A

3/1

Company

 

 

 

 

 

 

 

 

 

 

 

 

V.  STATE REQUIRED FILINGS***

 

 

101

Filings Checklist (with Column 1 completed)

xxx

0

xxx

3/1

State

 

 

102

Maine Fraud and Abuse Annual Report

xxx

0

1

3/1

State

P

 

103

Premium Tax

xxx

0

1

3/15

State

E

 

104

Signed Jurat

xxx

xxx

xxx

3/1,5/15,8/15,11/15

NAIC

 

 

105

State Filing Fees

xxx

0

1

8/10

State

C, P

 

106

 

 

 

 

 

 

 

 

107

 

 

 

 

 

 

 

*If XXX appears in this column, this state does not require this filing, if hard copy is filed with the state of domicile and if the data is filed electronically with the NAIC. If N/A appears in this column, the filing is required with the domiciliary state. EO (electronic only filing).
**If Form Source is NAIC, the form should be obtained from the appropriate vendor.

***For those states that have adopted the NAIC updated Holding Company Model Act, a Form F Filing is required annually by holding company groups. Consistent with the Form B filing requirements, the Form F is a state filing only and should not be submitted by the company to the NAIC.  Note however that this filing is intended to be submitted to the lead state.  For more information on lead states, see the following NAIC URL: http://www.naic.org/public_lead_state_report.htm

 

NOTES AND INSTRUCTIONS (A-K APPLY TO ALL FILINGS)

GENERAL INSTRUCTIONS FOR COMPANIES TO USE CHECKLIST

 

Last Updated: October 24, 2014