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.

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September 10th, 2025
Effective:
September 05th, 2025
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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
map-marker 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.

Effective
September 09th, 2025
Effective:
September 10th, 2025
map-marker Florida
Florida September Edition of The Wire

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
map-marker 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.

Released
September 09th, 2025
Effective:
October 10th, 2025
map-marker 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. 

Released
September 05th, 2025
Effective:
September 02nd, 2025
map-marker 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
map-marker 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
September 05th, 2025
Effective:
October 10th, 2025
map-marker North Carolina
North Carolina Reporting Single Service Company Licenses to be Reported on PDB

Effective October 10, 2025, North Carolina will be reporting Single Service Company Licenses for display on the Producer Database. North Carolina is also allowing the following Line of Authority for online application and appointments, Vision Services.

Released
September 05th, 2025
Effective:
October 01st, 2025
map-marker New Mexico
New Mexico Disclosing Reminder

Posted September 4, 2025, New Mexico posted a reminder that all licensees and applicants are required to comply with the disclosing and/or reporting requirements of New Mexico. Starting in October 2025, the state will conduct audits of all licensee records. Please see the attachment for more information.

Effective
September 04th, 2025
Effective:
October 14th, 2025
map-marker North Carolina
North Carolina Adjuster DHS Designation

Effective October 10, 2025, North Carolina is requiring Nonresident Adjuster License applicants who are residents of California, Hawaii, and New York to pass the North Carolina Adjuster Exam.   Nonresident Adjuster applicants are not allowed to designate California, Hawaii, or New York as their Designated Home State.  

Effective
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