Regulatory Updates
The world of insurance compliance regulation is ever-changing. But that’s no reason to fret. Keep up with regulatory updates here in our live feed. With relevant changes to licensing, appointments, continuing education rules, and more, you can take a proactive approach to maintaining your organization’s compliance requirements.
September 11th , 2025
Effective:
October 10th , 2025
October 10
South Dakota
South Dakota Retaliation Fee Update
Effective October 10, 2025, South Dakota will update the non resident renewal retaliatory fees for the following states: Delaware and Nebraska. The updated fees will be applied to applicants who expire after December 31, 2025.
Pending
September 10th , 2025
Effective:
October 10th , 2025
October 10
Wisconsin
Wisconsin LOA Updates
Effective October 10, 2025, Wisconsin will update its existing Lines of Authority to align more closely with national standards.
From October 09, 2025, at 4:00 PM Central Standard Time, to October 10, 2025, 9:30 AM Central Standard Time, electronic applications will be closed for Wisconsin.
Pending
September 10th , 2025
Effective:
January 01st , 2026
January 01
Montana
Montana Will Adopt the SLIP+ for States Platform
Effective January 1, 2026, Montana will adopt the SLIP+ for States platform for reporting Montana Surplus Lines policies, endorsements, and payment of Montana Surplus Lines premium taxes.
Please see the attachment for more information.
Pending
September 10th , 2025
Effective:
September 05th , 2025
September 05
N/A
SEC Grants No-Action Relief to FINRA
On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (SEC) granted no-action relief to FINRA to permit the CRD records of Form U4 to satisfy the Securities Exchange Act rule of 17a-4 records retention requirement. Please see the attachment for more information.
Effective
September 10th , 2025
Effective:
September 23rd , 2025
September 23
California
California Feature Enhancement Diligent Search Report
Effective September 23, 2025, California is rolling out a new feature integration with DocuSign for completing the Diligent Search Report (SL-2 form). The Surplus Line Association of California is hosting a webinar with a live demo on how the feature works.
Please see the attachment for more information.
Pending
September 09th , 2025
Effective:
September 10th , 2025
September 10
Florida
Florida September Edition of The Wire
FL - Posted September 9, 2025, the Florida Surplus Lines Service Office (FSLSO) posted September’s edition of The Wire. Highlights include:
- SLIP+ will be releasing a multi-factor authentication (MFA) option for users
- Wet Marine, transportation, and aviation policies are required to be filed in FSLSO SLIP+
- The department also includes answers to FAQ’s regarding penalties on invoices and billing reports
Please see the attachment for more information.
Effective
September 09th , 2025
Effective:
October 10th , 2025
October 10
Puerto Rico
Puerto Rico to Implement New Transaction Type to Process DRLP Updates
Effective October 10, 2025, a new electronic application will be implemented for Puerto Rico to process Designated Responsible Licensed Producer updates.
Pending
September 09th , 2025
Effective:
October 10th , 2025
October 10
Puerto Rico
Puerto Rico to Implement New Transaction Type to Primary Name Updates
Effective October 10, 2025, Puerto Rico will implement a new transaction type to process Primary Name Change (Demographics) updates.
Pending
September 05th , 2025
Effective:
September 02nd , 2025
September 02
Alabama
Alabama Not Processing Licensing Requests for Captive Insurance Companies and Risk Retention Groups
Posted September 2, 2025, Alabama posted an update to a bulletin posted March 3, 2025, around Alabama not accepting or processing new filings for registration or licensing of captive insurance companies and risk retention groups.
After consideration, the moratorium will last until June 30, 2026. Interested captive insurance companies, risk retention groups, or captive managers acting on behalf of captive insurance companies or risk retention groups are requested not to submit application packages or fee payments for applications during the moratorium period. Please see the attachment for more information.
Effective
September 05th , 2025
Effective:
September 05th , 2025
September 05
Florida
Florida Foreign Insure Report Due September 30, 2025
Posted September 5, 2025, the Florida Surplus Lines Service Office (FSLSO) posted a newsletter with highlights including:
Upcoming Premium Report Deadline -The Foreign Insurer Q2-2025 reports are due on September 30th. Any surplus lines insurer that fails to file a report within the time required may be fined up to $500 per day.
Foreign insurers are required to file on a quarterly basis and alien insurers are required to file on an annual basis. You can log in and submit transactions in FSLSO SLIP+ at any time.
Please see the attachment for more information.
Effective
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Disclaimer - AgentSync does not warrant to the completeness or accuracy of the information provided in this database. You are responsible for ensuring the accuracy and totality of all representations, assumptions, information and data provided by AgentSync to you in this database. The information in this database should not be construed as legal, financial, or other professional advice, and AgentSync is not responsible for any harm you sustain by relying on the information provided herein. You acknowledge and agree that the use of this information is at your own risk. You should always consult with the applicable state and federal regulatory authority to confirm the accuracy of any of the information provided in this database.
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analyzed
Our compliance experts have identified the update and analyzed it for impact on both the industry and AgentSync products.
pending
The time between the update's publication date and effective date.
effective
The date the update takes effect.
released
This means an AgentSync product was updated as a result of this change and the update is now live in our product(s).