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  • LICENSING & COMPLIANCE

INDUSTRY LICENSING & COMPLIANCE

Welcome to our Industry Licensing and Compliance webpage, where you can learn how to obtain, maintain and renew a license, and satisfy filing and compliance requirements.

LICENSING & COMPLIANCE

  • FINANCIAL ENTERPRISES
  • FINANCIAL INSTITUTIONS
  • INSURANCE PROFESSIONALS
  • INSURERS
  • REAL ESTATE APPRAISERS

FINANCIAL ENTERPRISES


Financial Institution Trade Associations

Advance Fee Loan Broker

Money Transmitter

Collection Agency

Mortgage Banker

Commercial Mortgage Banker

Mortgage Broker

Commercial Mortgage Broker

Premium Finance Company

Consumer Lender

Property Tax Agent

Debt Management Company

Sales Finance Company

Escrow Agent

 

Loan Originator

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FINANCIAL INSTITUTIONS


Financial Institution Trade Associations

Bank

Savings and Loan

Credit Union

Trust Company

 

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INSURANCE PROFESSIONALS


Adjuster

Rating Organization

Agent - see Producer (Agent/Broker)

Rental Car Agent

Bail Bond Agent

Risk Management Consultant

Bail Recovery Agent

Self-service Storage Agent

Certfied Application Counselor

Surplus Lines Broker

Life Settlement Broker

Temporary License

Managing General Agent

Third Party Adminsitrator

Navigator

Title Agent

Portable Electronics Adjuster

Travel Insurance Producer

Portable Electronics Vendor/Agent

Utilization Review Agent

Producer (Agent/Broker)

Vending Machine

Rate Service Organization
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Low-income Applicants May Qualify for License Fee Waiver

An individual whose family income is at or below 200% of the federal poverty level may qualify to have the license fee waived.  See Form L-WAV, below.


Relocating to Arizona from Another State

If you are an insurance producer or adjuster relocating to Arizona from another state where you were licensed as a resident, the application process is the same as for any other person applying for an Arizona resident license EXCEPT you are not subject to the pre-license examination requirement if Arizona offers the exact same license type and line of authority that you held in your resident state.  If the license and lines of authority are the same, submit with your license application a Clearance Letter issued by the insurance department/commission in your previous resident state.  The Clearance Letter must show the previous resident license was canceled within 90 days of our receiving your license application. If your previous resident state does not issue Clearance Letters, you must provide evidence of the date your resident license was canceled by your previous resident state.


Changes to Addresses, E-mail and Phone Numbers

Individuals must use the NIPR Contact Change Request (CCR) system to submit changes to addresses (business, mailing or residential), e-mail addresses and phone numbers.  NIPR does not charge a fee for using CCR.

  • Go to the NIPR Home page (www.nipr.com).
  • Click the "Contact Change Request" menu option on the left side of the page. 
  • Click the big green "START" button, enter information needed to locate your license record, and then use the system to enter changes.

The NIPR CCR system is only available for licensed individuals - it does not yet allow licensed business entities to make changes.


"1033 Waiver"

18 USC § 1033 prohibits individuals convicted of certain offenses from engaging in or proposing to become engaged in the business of insurance without the written consent of an insurance regulatory official. 18 USC § 1033(e)(2).  Apart from applying for an insurance license, you must request permission to engage in the business of insurance if: 

  • You have been convicted of any FELONY involving dishonesty or breach of trust that you have not disclosed on your application for an Arizona insurance license, or 
  • You have been convicted of an 18 USC § 1033 offense, even if you have disclosed it on your application for an Arizona insurance license.

An 18 USC § 1033 offense includes:

  • Knowingly making a false material statement or report or overvaluing land, property or security in connection with reports or documents presented to any insurance regulatory official or agency for the purposes of influencing the actions of the official or agency. 18 USC § 1033(a)(1).
  • Knowingly making a false entry in any book, report or statement with the intent to deceive any person about the financial condition of an insurance business. 18 USC § 1033(c)(1).
  • Using, or attempting to use, threats or force or any threatening letter or communication to corruptly influence, obstruct or impede the due and proper administration of the law in a proceeding involving the business of insurance pending before any insurance regulatory official or agency. 18 USC § 1033(d).

INSURERS


Licensing/ Registration

Captive Insurers and Arizona-domestic RRGs

Trust Deposits

Life and Health Product Filing and Compliance

Financial Reporting - Domestic Entities

Property and Casualty Product Filing and Compliance

Financial Reporting - Foreign/ Alien Entities

Health Care Appeal Filing

Automobile Theft Authority Assessment

Insurance Fraud Reporting

Insurance Premium Tax and Retaliation

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REAL ESTATE APPRAISERS


Financial Institution Trade Associations

Coronavirus 2019 (COVID-19)

The Appraisal Foundation: How the coronavirus impacts appraisers

Department of Veterans Affairs (VA) Circular 26-2013:  Valuation Practices during COVID-19

Fannie Mae Lender Letter (LL-2020-04): Impact of COVID-19 on Appraisals


Appraiser Licensing Information

Appraisal Management Company

Licensed Residential Appraiser

Certified General Appraiser

Nonresident Temporary Appraiser

Certified Residential Appraiser

Trainee Appraiser

Designated Supervisor Appraiser

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Documents

FY 2021 Insurer Annual Assessment (due August 10, 2020)

Links

Title Description
Treasury Department Issues Ransomware Advisories to Increase Awareness and Thwart Attacks

WASHNGTON—The U.S. Department of the Treasury’s Office of Terrorism and Financial Intelligence today issued a pair of advisories to assist U.S. individuals and businesses in efforts to combat ransomware scams and attacks, which continue to increase in size and scope. Anti-money laundering and sanctions regulations implemented and enforced by Treasury’s Office of Terrorism and Financial Intelligence may have implications for persons involved in facilitating ransomware payments. Efforts to detect and report ransomware payments are vital to prevent and deter cyber actors from deploying malicious software to extort individuals and businesses, and to hold ransomware attackers accountable for their crimes....

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