Surplus Lines Broker


IMPORTANT! Beginning January 1, 2020, all surplus lines broker tax reports and payments must be filed electronically.  You must:

  • Use the Surplus Line of Arizona system to produce the tax report and
  • Use the OPTins system ( administered by the National Association of Insurance Commissioners (NAIC) to file the report and pay the tax.

To use the NAIC OPTins system, you must complete a registration process.  Do now wait until your tax filing and payment are due.  Complete the registration process immediately.



surplus lines broker is a person who, after determining that insurance coverage is not readily available from an Arizona-authorized insurer, procures insurance on behalf of an insured from a qualified unauthorized insurer.


A person (individual or business entity), other than an industrial insured as defined in ARS § 20-401.07(C), who procures from an insurer that does not hold a Certificate of Authority in Arizona insurance for another person (individual or business entity) whose "home state" [ARS § 20-401(6)] is Arizona. 

If you will only be selling, soliciting or negotiating alien insurance for coverage in Mexico (pursuant to ARS § 20-422), you may apply for a Mexican Insurance Surplus Lines Broker license instead of a Surplus Lines Broker license.

All insurance professionals (both residents and nonresidents) can apply for licenses, renew licenses, and update addresses and phone numbers online through the National Insurance Producer Registry (NIPR), at  

NIPR license and renewal applications are easy to complete, and we can usually process them faster than applications that are mailed to us. NIPR charges a small transaction fee (around $5 to $7) to process a license application and fee payment.  Many people have found that overall, the added convenience plus the time and postage savings are worth paying the fee. 

USE NIPR FOR FREE to change an address, e-mail address or phone number!

ARS § 41-1030(G) requires most Arizona government agencies to prominently print the provisions of ARS § 41-1030(B), (D), (E) and (F) on all license applications.  The following is the language in ARS § 41-1030(B), (D), (E) and (F):

B. An agency shall not base a licensing decision in whole or in part on a licensing requirement or condition that is not specifically authorized by statute, rule or state tribal gaming compact. A general grant of authority in statute does not constitute a basis for imposing a licensing requirement or condition unless a rule is made pursuant to that general grant of authority that specifically authorizes the requirement or condition.

D. This section may be enforced in a private civil action and relief may be awarded against the state.  The court may award reasonable attorney fees, damages and all fees associated with the license application to a party that prevails in an action against the state for a violation of this section.

E. A state employee may not intentionally or knowingly violate this section.  A violation of this section is cause for disciplinary action or dismissal pursuant to the agency’s adopted personnel policy.

F. This section does not abrogate the immunity provided by section 12-820.01 or 12-820.02.

Surplus Lines Broker