1033 State Decision Repository

1033 State Decision Repository

The 1033 State Decision Repository (SDR) application allows regulators to enter and and search for 1033 decisions, which state regulators have made for individuals who have requested to work in the business of insurance but have been prohibited to do so by section 1033 of the Violent Crime Control and Law Enforcement Act of 1994.

NOTE: This database is CONFIDENTIAL and for regulatory purposes only.

View 1033 State Decision Repository

    1. Search for individual(s) by performing a Individual Entity Search.

    2. The Lookup Results page displays a list of entities that match the criteria entered on the search page, if the database does not contain data for a specific entity, a message "N/A" will display on the Results page.

    3. Click the 1033 Activity link to view information for the entity. The system Disclaimer will display noting the confidentiality of the database information.

    4. Click the OK button at the bottom of the Disclaimer window.

    5. The 1033 State Decision Repository page will display.

    6. Once you have accessed the details of a selected record, you can go to the previous activity detail record by clicking the Previous Activity Detail link at the top of the page.

    7. To go to the next activity detail record for the selected entity, click the Next Activity Detail link at the top of the page.

    8. To save the 1033 State Decision Repository detail page as a plain text file or print the page as it appears, select the appropriate option from your browser's file menu. 

    9. To return to the 1033 State Decision Repository data page, click the back button located at the bottom of the page or click on the appropriate tab.

    The 1033 Activity date displayed next to the link will be the most current effective date of the activity associated with the identified entity. This summary page lists information about the entity, as well as known 1033 activities for the entity.

    At the top of the page you will find identifying information about the entity selected. Information for firms will include the National Producer Number and date of birth. To view complete demographic information about the entity, click the name link at the top of the page.

    A summary of the 1033 information appears below the identifying demographic information. This summary includes 1033 actions and total number of activities and the date the activity information was last updated.

    The table following the Summary Information section provides the 1033 record number for each activity, the effective date, date updated, activity details and activity states.

    View 1033 State Specific Decisions

    1. To view a list of the 1033 information related to specific states, click the States with 1033 State Decision Repository Activity link located on the right side of summary information area. This link appears just below the entity demographic information.

    2. Within the table displayed, click an active state link to view a list of 1033 information related to the state selected.

    3. To save the 1033 data page as a plain text file or print the page as it appears, select the appropriate option from your browser's file menu.

    4. To return to the Lookup Results page, click the Back button located at the bottom of the page or the Back button on the browser.

    5. To perform another search or navigate to a different application within iSite+, select the appropriate tab.

    Detail pages for activities contain the following information. NOTE: For definitions of unfamiliar terms, see the Glossary.

    • Identifying information for the entity (name, National Producer Number, etc.)
    • Entity role
    • Record number
    • Effective date
    • Date entered
    • Date updated
    • Updated by
    • Activity details
    • Activity State(s)

    Enter 1033 State Specific Decisions

    Note: Entering a 1033 decision is not available for all users, please contact your NAIC IT Liaison to request access.

    1. Click the Utilities link under the Tools tab.

    2. Click the 1033 State Decision Repository (SDR) - Data Entry Tool.

    3. Enter the Last Name, First Name and Social Security Number (required fields)

    4. Click the Next button

    5. If the entity is already in the database, the result will indicate the the record has been located and then click create 1033 button.

    6. Enter the 1033 decision, completing the required fields denoted with an asterisk and click the Add button.

    7. Notification of success will display.

    If the entity is not already in the system, a message will display indicating that you have entered this criteria, create a 1033 button displays. If the entity already has a 1033 entered for that state then a button to view the 1033 is displayed. If the user believes the returned results are in error or would like to update an entry then the contact the NAIC Service Desk at 816-783-8800 or service@naic.org.