Filing Submission Status Report

Filing Submission Status Report

The Filing Submission Status report provides a listing of received, missing or extended/waived financial filings for all companies of a specified data year and statement type based on whether the company is domiciled, licensed and/or writing business in a particular state.

The Missing report lists all companies that meet the selection criteria specified and for which the NAIC has not yet received a filing, but from which a filing is expected. This excludes companies that have been waived from filing or have been given an extension to file with the NAIC. This report includes the Group Code, Company Code, Company Name and State of Domicile for the companies displayed. To narrow the search criteria, you may select domiciled, licensed or writing business.

The Received report lists all companies that meet the selection criteria and for which the NAIC has received a filing. In addition to the information included on the Missing report, the Received report lists  the date the filing was received and the type of filing (original or refile). To narrow the search criteria, you may select domiciled, licensed or writing business.

The Extended/Waived report lists all companies that meet the selection criteria and that have been waived from filing or have been given an extension to file with the NAIC. This report includes the Group Code, Company Code, Company Name and State of Domicile for the companies displayed. To narrow the search criteria, you may select domiciled, licensed or writing business.

To view Filing Submission Status reports:

  1. Click the Summary Reports link under the Tools tab.
  2. Select Filing Submission Status from the Financial area of the page.
  3. Click the Submit button to the right of the report selection area. The Filing Submission Status Report page will display.
  4. Select the desired criteria from the drop down lists. Required fields are Year, View, Statement Type, Filing Period and Filing Set.
  5. To narrow the search, select a State, then select domiciled, licensed and/or writing business as related to the state selected. Select yes or no from the drop-down lists for these options.
  6. Select the sorting option. The default is to sort the list by company code. You may also sort the list by company name or group code.
  7. Click the Submit button to generate the report based on the criteria selected. The report will display below the selection criteria area of the page. The Filing Submission Results page will display.
  8. To save the Filing Submission Results 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 close the Filing Submission Status page, click the close button (X) at the top of the report window.
  10. To return to the Summary Reports page, click the Back button on your browser.