Regulatory Updates

Posted March 10, 2026 – The North American Securities Administrators Association (NASAA) announced the launch of a public course catalog for investment adviser representatives (IARs) seeking to fulfill their continuing education (CE) requirements under NASAA’s IAR CE Model Rule. The course catalog is now live and available at iarce.nasaa.org. For more information about NASAA’s IAR CE program, please visit NASAA’s IAR CE webpage at nasaa.org/iarce.

Please see the following URL for more information about this catalog https://www.nasaa.org/80220/nasaa-online-iar-ce-course-catalog-launch/?qoid=current-headlines

Posted March 6, 2026, New York added two new companies to the list of Excess & Surplus lines (E&S) insurers, maintained by the Excess Line Association of New York (ELANY). Please see the attachment for more information.

Connecticut has announced 2026 Appointment Renewal Dates. Please see the attachment for more information

Posted March 12, 2026, New York added a new company to the list of Excess & Surplus lines (E&S) insurers, maintained by the Excess Line Association of New York (ELANY). Please see the attachment for more information.

Posted March 6, 2026, Ohio is looking for public comment with the latest batch of Five-Year Rule Reviews. In this batch, they are reviewing the following rules:  - 3901-9-01 provides standards to applicants applying for initial licensure or renewal as a viatical settlement provider. The rule provides form and fee requirements. - 3901-9-02 provides standards to applicants applying for initial licensure or renewal as a viatical settlement broker. The rule provides form and fee requirements. - 3901-9-03 establishes viatical settlement education (VSE) requirements, criteria, standards and procedures and fees for VSE providers, VSE courses and licensed viatical settlement brokers.

The Department is seeking comments from March 6, 2026, through March 19, 2026. Please see the following links for more information. - - -

Effective February 28, 2026, Ohio clarified what applications must provide for a Managing General Agent. New language is below. - _Whether the applicant has been convicted of or pleaded guilty or no contest to any criminal offense;_ - _Whether the applicant has had any administrative action taken against a professional license or registration they hold_

_Please use the following link for that change._ https://codes.ohio.gov/ohio-administrative-code/rule-3901-3-10

Effective July 1, 2026, Louisiana will utilize the SLIP+ for States system operated by Florida Surplus Lines Service Office (“FSLSO”) as the exclusive system for reporting Louisiana surplus lines policies and endorsements and for remitting surplus lines premium taxes required under Louisiana law. Please see the attachment for more information.

Beginning April 1, 2026, new resident Georgia license applications must be submitted directly through the state licensing system. For information on Georgia's application process and requirements, please visit: - Georgia Department of Insurance: https://oci.georgia.gov/ - Phone: (404) 656-2070

Posted February 27, 2026, the Florida Surplus Lines Service Office (FSLSO) posted June’s edition of The Wire. Highlights include: New FSLSO Filing Requirements (Effective July 1, 2026) The Florida Surplus Lines Service Office (FSLSO) will update SLIP+ and batch filing requirements for agents and Independent Procurement filers (IPC). - Batch filing formats must be upgraded to new required versions. 2\. Diligent Effort Requirement Repealed (Effective July 1, 2025) Florida eliminated the “diligent effort” requirement for surplus lines placements. Additional changes: - The surplus lines disclosure form must now include language stating that surplus lines insurers’ policy rates and forms are not approved by any Florida regulatory agency. - FSLSO updated its sample disclosure form and released educational videos explaining the changes and ongoing compliance requirements. 3\. Home State Determination Reminder (NRRA Guidelines) The article clarifies how to properly determine a policy’s “home state” under the Nonadmitted and Reinsurance Reform Act (NRRA)

Please see the attachment for more information.

Posted February 26, 2026, New York’s Excess Line Association (ELANY) sent out a bulletin reminding New York excess line brokers that they must file a Premium Tax Statement electronically with the DFS (NOT WITH ELANY). Please see the attachment for more information.