Regulatory Updates

The 2024 Iowa appointment renewal dates are January 5, 2024 – March 15, 2024. The termination deadline is December 27, 2023.

The Wisconsin Office of the Commissioner of Insurance (OCI) will process all company appointments electronically through the National Insurance Producer Registry (NIPR). The appointment renewal invoice will include all resident / nonresident appointment renewals.

The 2023 Wisconsin appointment renewal dates are 1/5/2024 - 3/15/2024. Appointments added after 1/1/2024 will be associated with the 2024 renewal date period.

Please see attached for more informaiton.

Delaware Department of Insurance published changes on licensing requirements for Resident and Nonresident TPA in the Definition Section and adding the following to General Requirements regarding Annual Reports:

- Administrators must file an annual report for the previous calendar year on or before July 1 each year.

On November 8, 2023, Washington Department of Insurance published changes on licensing requirements for Individuals. Please see below for updated sections.

**Washington Department of Insurance Individual Resident License Requirements**

**Fee Summary** Managing General Agent Appointment (biennially):  $ 200.00 Fingerprint processing fee: $49.25

**Application** An applicant for a producer license must file the uniform application and declare under penalty of refusal, suspension or revocation of license that statements in the application are true and complete to the best of the individual's knowledge and belief.  Applicants must:

     a.   Submit an online application including payment           of licensing fees; and      b.   Submit fingerprints electronically from the           IDEMIA-IdentoGo Center.

**Fingerprints** All fingerprints must be submitted electronically from the IDEMIA-IdentoGo Center.

3\.   Applicants must schedule a fingerprint appointment with      IDEMIA no later than 1 business day prior to the examination      date.

     a.   To schedule an appointment, applicants must:           I.   visit or          II.   call IDEMIA at (888)771-5097.      b.   A fingerprinting fee must be paid by credit card, eCheck,           or company billing account to IDEMIA at the time of           appointment scheduling.

**Examination** To schedule an examination, an applicant must:      a.   visit or      b.   call (855)205-5825 (Monday - Friday, 2:30 AM -9:00 PM, or           Saturday - Sunday, 6:00 AM - 2:30 PM, Pacific Time).

Candidates must bring 1 form of photo-bearing identification that is valid and unexpired to the examination center.  The identification may be 1 of the following items:

     a.   state-issued driver's license;      b.   state-issued identification card;      c.   U.S. government-issued passport;      d.   U.S. government-issued military identification card;      e.   U.S. government-issued alien registration card; or      f.   Canadian government-issued ID.

Reservations for reexamination cannot be made at the examination center, and candidates must wait 24 hours  before rescheduling another exam.

Renewals must be completed by December 31, 2023. Renewal Fees should be submitted on or before December 7, 2023 to avoid unlicensed activity or penalty fees for late renewal. Please see attached for more information.

On November, 9, 2023, FINRA posted an update reminding firms, Self Regulatory Organizations (SROs), States and Jurisdictions to renew registrations by annual renewal deadline. Please see the attachment for more information.

On November 7, 2023, Tennessee Department of Commerce & Insurance published changes to license fees and terms for individuals. Please see below for updated sections.

Two more member jurisdictions have implemented the Investment Adviser Representative (IAR) CE requirements. Please see attached for more information.

Effective October 25, 2023, Maine updates Bill to document requirements indicating applicants have 10 business days to provide application / disclosure information. Please see attachment for more information.

**Appointment Renewal End Date changed to January 3, 2024** - Active individual appointments on record as of November 24, 2023, will be invoiced for renewals. - The NIPR website will display the renewal invoice and a list of appointment renewals beginning at 8:00 am CST on December 1, 2023. - The invoices will no longer be displayed on the NIPR website after January 3, 2024, at 4:00 pm CST. - NIPR will display the invoices as paid once payment is received. - Louisiana appointments paid through the appointment renewal invoice will also be updated after the renewal period ends on with the effective date of December 31, 2024.