Filing Procedures and Fees under Insurance Holding Company System Regulatory Act
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This bulletin governs required fees and electronic filing procedures for various holding company forms filed with the Alabama Department of Insurance; it applies to all Alabama domestic insurers and applicants submitting filings under the Act.
Bulletin No. 2021-07 (dated July 29, 2021) is rescinded and replaced by this Bulletin.
Fees and Filing Requirements
Fee schedule and filing requirements
Fees and procedural requirements for specific holding company filings:
Forms, Codes, and Payment Timing
| Form A | Statement Regarding the Acquisition of Control or Merger with a Domestic Insurer |
| Form A Amendment | Amendment to Form A |
| Form A Exemption | Exemption for Form A filings |
| Disclaimer of Affiliation | Disclaimer of Affiliation filing |
| Joint Filing of Disclaimer of Affiliation and Form A Exemption | Joint Filing of Disclaimer of Affiliation and Form A Exemption |
| Form B | Annual Registration Statement |
| Form B Exemption | Exemption to Form B |
| Form C | Summary of Changes to Registration |
| Form D | Prior Notice of a Transaction |
| Form E | Pre-Acquisition Notification |
Filing and Payment Procedures / Hearing Costs
Filing and payment must be electronic and contemporaneous; single‑PDF and confidential‑document handling required
Submit the required Legal or Examination Division fee electronically and contemporaneous with each holding company filing; follow the Department's electronic filing instructions and include only one original plus one complete electronic copy when filing electronically. Electronic submissions should be contained in a single PDF file. If any documents are to be given confidential treatment, omit them from the electronic filing and substitute a single-page identifier for each confidential document that identifies the document and indicates it will be submitted separately under seal. Clearly identify any items requested to be held as confidential.
- Fees for Legal Division filings (e.g., Form A) must be submitted electronically and contemporaneous with each filing and follow the Department website instructions (see Legal Division fee page).
- Electronic submissions should be a single PDF; electronic filers need submit the original plus one complete electronic copy.
- Confidential documents may be omitted from the electronic file and replaced with a single-page placeholder identifying the document to be submitted separately under seal; clearly mark confidential items.
Applicant bears court reporter and transcript expenses for hearings
The applicant is responsible for the expenses of a court reporter and for preparing the hearing transcript; the Department will issue a separate invoice for those costs to the applicant.
- Applicant must pay court reporter presence and transcript preparation expenses for hearings.
- A separate invoice will be issued to the applicant for these costs.
Electronic Submission and Form Definitions
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