This information and the Photocopy/Certification Request Form have been provided for your convenience.  Please read the following carefully and use the request form provided to facilitate prompt handling of your request(s) for photocopying or certification of Financial Reports of Examination, Annual Statements (A/S) or Quarterly Statements (Q/S).

FINANCIAL STATEMENTS

As of March 1, 2009 the California Department of Insurance required financial statement filing to be done electronically. Currently only domestic companies are required to file annual and quarterly financial statements.

Annual Statements for domestic companies are sent to the State Retention Center after four years and stored for an additional 20 years. For years prior to 2008, annual statements for domestic companies are available but allow 2 - 6 weeks for retrieval from the State Records Center in Sacramento.

The Financial Reports of Examination are kept until superseded then destroyed. 

PUBLIC VIEWING ROOM

Public viewing of financial records is located in our Los Angeles office. The viewing room is open to the public from 8:00 a.m. to 5:00 p.m., Monday through Friday, except on State holidays. The public viewing room is closed during the Annual Statement processing period from the end of February until the beginning of April.

The steps to view Financial Statements PDF's online are:

• Select the Company Profiles in the Online Services drop down list in the Quick Links section at the Department's home page
• Click on the Insurance Company Profiles link
• Type in the company name of your choice, click on Get Company
• Click on the desired company name
• Click on the following options in the Financial Statements PDF's section located on the left side of the screen

Annual Statements for individual companies are also available for download from the National Association of Insurance Commissioners (NAIC) Website.  This service is available to the public at no charge for up to five companies per person per year.  

Here are the steps to retrieve data once you are at the NAIC home page.

• Click on the Consumer Information Source (CIS) option located below the NEWSROOM link.  
• Type in a Company Name and select a Consumer's Resident State
• Click on the Find a Company 
• Click on the Financial Information
• Click on the Get PDF Statement Data button.

If you don't have an account, click the Sign up button and follow the instructions to set up an account. Once you have setup an account, you will be able to do a search for the company of your choice and download their Annual Statement.

It is essential that you contact the Financial Records Unit to make an appointment prior to visiting our viewing room.  This will ensure that the statements you want will be available for viewing.  It takes between 2-6 weeks to retrieve a statement from the State Retention Center.  The address and phone number of the Financial Records Unit are as follows:

LOS ANGELES
Financial Analysis Division - Financial Records Unit
300 South Spring Street, South Tower, 13th Floor
Los Angeles, CA 90013
(213) 346-6423
(213) 897-7051 Fax
Financial_Records@insurance.ca.gov

PHOTOCOPYING (Insurance Code  § 12921.2)

You must make arrangements with the Financial Records Unit in the Los Angeles Office if you are requesting photocopies of an A/S, Q/S, and Financial Report of Examination.  We do not offer same-day photocopy service.  Please submit your completed request form to the Financial Records Unit at the address provided above.  You may mail, fax, or e-mail the request form to Financial Records Unit.

Please allow approximately two weeks for processing of your request. Requests may be delayed due to document availability, document retrieval, or other issues.

You may request to make a copy of a statement, by submitting a completed request form, along with the fee, to our office.

We are only authorized to photocopy up to 12 pages, one sided.  For requests of more than 12 pages, copies must be made using your own equipment or having a professional photocopy service do it for you.  Under no circumstances can a statement be taken from the public viewing area and we do not have copy machines available for public use.  If you do not know of a photocopy service company call us and we will provide you with a list. The service fees vary from company to company.

Our photocopying fee per page is $.63.  We do not mail outside of the country.

Instructions to Photocopy Services

You must make an appointment before you are allowed to come to our office and photocopy a request. Due to limited space, we do not allow more than three photocopying services at a time.

NOTICE: We do not allow any equipment or supplies to be left overnight on our premises unless authorized by the Financial Analysis Division Chief or Financial Records Bureau Chief.  Unauthorized equipment and supplies left after 5:00 p.m. will be turned over to the California Highway Patrol. 

The Department of Insurance assumes no responsibility for any loss or damage to equipment or supplies.

CERTIFICATIONS (Insurance Code § 12972 & 12973)

All requests for certification must be sent to the Financial Records Unit in the Los Angeles office.  We do not do offer same day service on certification requests.  All copies produced for certification must be legible and complete.  Please submit your completed request form by mail, fax or e-mail to the Financial Records Unit.

Please allow approximately 2-4 weeks for processing of your request. Requests may be delayed due to document availability, document retrieval, or other issues. We recommend that you submit your request at least three weeks in advance of when the documents are needed.
     
Please allow 2-6 weeks for processing of requests retrieved from the State Retention Center

For those wishing to pick-up their certifications please wait for a phone call from the Financial Records Unit notifying you that your documents are ready for pick-up.  Do not arrive unexpectedly at our office, as we will not be able to process your request while you wait.

If we note any discrepancies between your document and the one we have in our file we will immediately stop the certification process and notify you of the discrepancy.

1. Non-legible
2. Single page copied onto two pages.
3. Mended or attached to each other by tape, staples or any other adhesive to produce one page.

If you decide to submit only the corrected page, please submit it with a letter on company letterhead requesting the replacement, signed by one of the officers listed on the Jurat page.

If there are errors on several pages you will be required to submit a new and correct statement. The request for certification of the correct statement will be processed as a new certification request and will be processed in the order received.

The Financial Records Unit does not certify Form B's or C's for anyone other than other States' Departments of Insurance, as these documents are confidential.  You may request a certified copy of a Form B or Form C, pay for the certification(s) and request that the certification/s be mailed to that State Department of Insurance requesting the form(s).  The Financial Records Unit must receive payment in full before we will process the certification request.

FEES:

The current fee for each document certification request is $37.00, and $1.00 for the seal.  Additional certification for each document is $14.00, in addition to $1.00 for the seal.  Be sure to add sales tax to your total cost.

PHOTOCOPY and CERTIFICATION REQUESTS - PAYMENT OF FEES

Before we can process your request(s), we must receive payment in full.  Please make your check, cashier check or money order payable to "California Department of Insurance".  Please do not send cash by mail.  We do not accept credit cards.  If you would like your documents to be mailed to you via overnight delivery, please submit your overnight air bill including your account number along with your enclosed check to our office.

If we note any calculation error(s) on your request form, we will immediately call you and inform you of the error(s) and either request additional fees or offer a refund on the overpayment.  When your request(s) is completed, we will either contact you to pick it up or we will mail the copies/certifications with your receipt to the address as shown on the request form, unless otherwise instructed.  Make sure you fill out the request form correctly to avoid delays.

The sales tax in Los Angeles County is 8.75%.  If you would like further information pertaining to sales tax rate charts, please contact the California State Board of Equalization at their Information Center at 1-800-400-7115 or visit their Website at http://www.boe.ca.gov/cgi-bin/rates.cgi.  Please do not add the cost of postage to your total bill if you will be picking up your photocopies or certifications.  Remember not to include the postage cost when calculating your sales tax.  Postage is not subject to sales tax.

CALCULATING YOUR BILL:

a. No postage used - add your request fees, enter a subtotal, calculate your sales 
    tax (from your subtotal) and then total your bill.

b. Postage used - add your request fees, enter a subtotal, calculate your sales tax 
    (8.75%-Los Angeles), add your postage fees and then total your bill. 
   
FINANCIAL RECORDS CONTACTS

Contact us at the phone number or e-mail address listed below to make arrangements for photocopying of documents:

Los Angeles
Financial Records Unit
(213) 346-6423
Financial Records@insurance.ca.gov