Regulatory Actions Data Entry Tool

Regulatory Actions Data Entry Tool

 

Regulatory Actions Data Entry Tool allows regulators to enter Regulator Action data for inclusion in the NAIC Market Conduct databases.

   

Access and Navigation

Only permitted users can access Regulatory Action Data Tool and are allowed to: add, delete or update data within the application. For questions, please call the help desk at 816-783-8800, or email Help Desk .

Simple navigational links help to move forward or backward between different sections.  

 

Warning: Avoid the use of browser back button, and instead use the navigational links to go to previously visited page.

 

Firm Search
Go to Settings section listed under ENTITY TYPE, select FIRM from the drop down menu.  Next, the FIRM SEARCH page will display a number of options to search a FIRM.  One of the following options may be used to search a firm.
  • COCODE (5 digits 12345, may not be less than 10000)
  • FEIN (9 digits or 10 with dash 12-3456789)
  • ALIEN ID (2 letters 7 digits, first two letters must be AA, ex. AA-1234567)
  • Enter the search criteria, and click submit to view the firms listed under the BIOGRAPHIC HITLIST page with the respective ENTITY ID displayed as a hyperlink.
  • Click the National Producer Number to display Biographic Information.  

If the FIRM you are searching does not exist, follow the instructions to Enter a New Firm.  

Enter a New Firm
In order to avoid duplication, please ensure to always perform a Firm search and then proceed to add the new firm to the NAIC database. Under the NAVIGATION area of the SETTINGS section, 
  • Click ADD NEW FIRM, and follow the instructions

On the BIOGRAPHIC DETAIL page, enter information for the following fields and the required information in "bold":

  • ORGANIZATION DATE (Hint: Click calendar icon to select date)
  • STATE DOMICILE CODE  
  • GROUP ID 
  • COCODE (Example: 12345 Remember: Do not mistake with GROUP ID)
  • ALIEN ID (Example: AA-1234567)
  • STATE ID (State specific, if available)
  • COMPANY NAME
  • FEIN (Example:12-3456789)
  • FIRM CODE (Select one from the list, if left blank will default to UNKNOWN)
  • NAME CODE (pick from the drop down list)

Remember: At least one of the following needs to be filled in: (it is not required to provide an identifier when adding a new firm)

  • COCODE
  • ALIEN ID
  • FEIN

  • Click SUBMIT

Immediately following a transaction, use Transmission Viewer to view and fix errors, if any.  If you require assistance working through an error, please contact the Help Desk. 

Update a Firm
To bring up to date or fill in a FIRM or an ENTITY, please contact the help desk immediately.

Delete a Firm
To remove a Firm, please contact the Help Desk.

Individual Search
 Go to settings section, under ENTITY TYPE, 
  • Select INDIVIDUAL and launch the search page

Enter at least one of the following options

  • NAME (at least two characters need to be entered)
  • NATIONAL PRODUCER NUMBER (10 digits - 1234567890)
  • SOCIAL SECURITY NUMBER (9 digits 123-45-6789)
  • Click SUBMIT, to view results

The BIOGRAPHIC HITLIST will display a list of  individuals and their National Producer Number (NPN).  

  • For detailed biographic information, click NPN ID  

NOTE: If your search finds no records, chances are that the individual is not listed on the database. Refer instructions to Enter New Individual

Enter New Individual

Prior to adding an individual to the database, search the individual to avoid duplicate entries.  Refer Individual Search  for details.  
  • Click ADD NEW INDIVIDUAL  under Navigation.

On the BIOGRAPHIC DETAIL page, enter the following information (required fields are marked bold, SSN is not mandatory):

  • SUBMITTING STATE 
  • NATIONAL PRODUCER NUMBER (up to 10 digits 1234567890)
  • LAST NAME
  • FIRST NAME
  • MIDDLE NAME (The Middle Name of the Producer)
  • NAME SUFFIX (i.e. JR, SR, III)
  • SOCIAL SECURITY NUMBER (If unavailable, please contact the help desk)

  • Click SUBMIT

Update an Individual
To bring up to date individual information, please contact the help desk immediately.

Delete an Individual
Please contact the Help Desk before you attempt to remove any individual.


Regulatory Information Retrieval System (RIRS) Action Search
Regulatory Information Retrieval System (RIRS) contains regulatory actions taken by participating state insurance departments against producers, companies, and other entities engaged in the business of insurance. Not all states actively participate in submitting data.

Begin by searching the entity, for more information on how to search refer FIRM or INDIVIDUAL as applicable. 

In the INFORMATION area of the SETTINGS section,

  • Click REGULATORY ACTION to view Actions associated with the Entity
  • Click REGULATORY ACTION ID to view the details of the action

To learn more, go to iSite+ Help or click Regulatory Action

Add a Regulatory Action
Begin by searching the Entity, refer  FIRM or INDIVIDUAL for more information.

From the BIOGRAPHIC INFORMATION page, under Information:

  • To view existing actions, click REGULATORY ACTION  

To add a new Regulatory Action, 

  • Click NEW REGULATORY ACTION and launch the REGULATORY ACTION DETAIL page

The fields mentioned below in "BOLD" letters must be completed, they are:

  • ORDER LENGTH (This field must be in the form of DAYS, for example 1 year = 365 DAYS)
  • ROLE (Must be UDI for a FIRM that exists on the NAIC database with a COCODE)
  • ORDER TYPE (Entered as number of DAYS.  DO NOT use this field for actions such as Probation, Revocation, or Suspension)
  • ACTION DATE (Date of the Regulatory Action)
  • EFFECTIVE DATE (Date of the DISPOSITION)
  • PENALTY (Enter whole $ amounts)
  • FILE REFERENCE NUMBER (State's Case/File Number for the Regulatory Action)
  • CONTACT NAME (Select a name from the drop list.  If your name is unlisted, contact help desk and request update in order to receive error notification)
  • RESTITUTION (Enter whole $ amounts)

In the ORIGIN section,  select at least ONE (1) and up to FOUR (4) choices.  If choosing OTHER, provide details in the DESCRIPTION OTHER ORIGIN, in 100 characters or less.

In the REASON section, select at least ONE (1) and no more than TWENTY (20) choices. Do not exceed 100 characters in description if choosing OTHER, in the DESCRIPTION OTHER REASON. 

In the DISPOSITION section, select at least ONE (1) and up to (4) choices.  You may also choose from one of the following OTHER categories:

  • OTHER (100 character length)
  • LICENSE OTHER
  • CERTIFICATE OF AUTHORITY OTHER

STATE RIRS ID is required and may contain up to One Hundred (100) characters

  • Click SUBMIT 

Update a Regulatory Action
Do an entity search.  For more information, refer  FIRM or INDIVIDUAL as applicable.

From the BIOGRAPHIC INFORMATION page, under Information:

  • Click REGULATORY ACTION to view the results  
  • Click REGULATORY ACTION ID link that needs update.  Please make sure you are updating an existing action.  
  • Make applicable changes and updates
  • Click SUBMIT

Delete a Regulatory Action
Start by searching the Entity.  For more information, refer a FIRM or INDIVIDUAL as applicable.

From the BIOGRAPHIC INFORMATION page, click REGULATORY ACTION under Navigation, to view the REGULATORY ACTION HITLIST page to see all Regulatory Actions associated with this Entity that have been supplied by your State.  

  • Click on the REGULATORY ACTION ID that needs deleted  
  • Pick DELETE from the TRANSACTION TYPE drop down list under SETTINGS (update should be default)
  • Click SUBMIT

Adding Unlicensed Entities
Anyone engaging in the business of, or transacting in unlicensed insurance can be referred to as an unlicensed entity. It can be an individual, agency or a company that does not have the license to sell insurance and insurance products to consumers.

To add an unlicensed entity, contact your state's https://i-site.naic.org/cgi-bin/statenet/market_regulation_mis.htm and click on the link for List of Data Administrators by State.