OASIS Registration and Filing FAQs
- Can I use my old OASIS login information without registering with the new OASIS system?
- Which registration should I use Individual or Company?
- What registration category do I fall under if I am a third-party company and I file for multiple companies?
- Why is my company registration request rejected?
- Can we register one email address for multiple users?
- Can we register the same company multiple times?
- Why have I not received an email after submitting my registration request?
- How do I submit filings for multiple companies?
- How do I set up Group Filing for companies under the same NAIC group number?
- How do I add other users?
- Why can’t I view shared work items?
- How do I know that my documents were successfully submitted?
- I’ve just registered successfully. How do I submit filings for Corporate Affairs Bureau (CAB)?
- How do I file a Risk Purchasing Group (RPG) renewal application?
- How do I file a Quarterly Gift Annuity Agreements (Form FAD-600) for Grants & Annuities
- How do I file an Annual Statement of Segregated Annuity Fund (Form FAD-601) for Grants & Annuities?
- I’ve just registered successfully. How do I submit a request for Verification of Securities for Securities Transaction Unit (STU) as an Auditor/Individual User?
- I’ve just registered successfully. How do I submit Security Transaction Requests (A-174/D-174) for Securities Transaction Unit (STU) as a Company User?
- How do I contact the Securities Transaction Unit (STU) if I need assistance?
1. Can I use my old OASIS login information without registering with the new OASIS system?
No, a new registration request is required and must be submitted either as an Individual or as a Company through the OASIS filing portal at Home · OASIS Filing Portal.
2. Which registration should I use Individual or Company?
Individual Registration
Individual registrations are for those who are Auditors, Legal Firm users, and Third-Party company users that process filings on behalf of a company, multiple companies NOT under the same NAIC group number, or on behalf of a company that does not have a NAIC group number.
- *Individual - Auditor has a very restricted access only to a section of the Securities Transactions Landing page.
- *Individual - Legal firm/Third party user has full access and can create work items for all companies
Company Registration
Company registration is limited to insurance carriers. A company user should be filing for one company, or if filing for multiple companies, the companies all must be under the same NAIC group number. Note: Only register for one company. A company account requires authorization from OASIS administrative staff prior to access. Once a company account is created and after sign-in, a Company Administrator may then self-identify as a Group Filing User on the profile page. The Group Filing User role will unlock the other companies that are under the same NAIC group number for filing. The Company Administrator may also create multiple company general user accounts, each with its own unique username, email address, and password.
3. What registration category do I fall under if I am a third-party company and I file for multiple companies?
Registration of an individual user would be required if the company being filed on behalf of is NOT under the same NAIC group number (See Question #2). If the companies are under the same NAIC group number, then registration is required as a company user (See Question #2).
4. Why is my company registration request rejected?
Rejection is usually due to an error on the registration form. Please check that the following information has been entered correctly:
- Company Name — The company name must be entered fully and have the correct spelling, and no additional spaces, periods, or commas. Do not use acronyms.
- Company ID — The Company ID is in a number format. It is different from the company name, the NAIC #, and CA Number.CA Number - Make sure to list all numbers including any number(s) after the dash. The CA Number is also different from the Company ID and NAIC #.
- NAIC # for Company — Make sure all numbers are entered correctly. The NAIC # is different from the Company ID and CA Number.
- Primary Administrator Email Address — The email address must not have already been registered with OASIS either as an Individual, Auditor, or Company User. Each user must have their own unique email. Do not use the same email address for the Secondary Administrator Email Address.
- Secondary Administrator Email Address — The email address must not have already been registered with OASIS either as an Individual, Auditor, or Company user. Each user must have their own unique email. Do not use the same email address as the Primary Administrator Email Address.
Note: Only one company identifier is required (CA Number, Company ID, and NAIC # for Company).
5. Can we register one email address for multiple users?
No, the system only allows one email address per user. The email address must not have already been registered with OASIS either as an Individual, Auditor, or Company user. Each user must have their own unique email.
6. Can we register the same company multiple times?
No, a company can only register once. The system will recognize a duplicate company name and will automatically reject the registration request.
7. Why have I not received an email after submitting my registration request?
Registration requests are being reviewed and a rejection or login email will be sent as soon as a review is completed. Please check your spam/junk folder or the company’s firewall for blocked emails.
8. How do I submit filings for multiple companies?
Individual users
Steps:
- Enter the “New Work Items” portal.
- Enter the year and filing period.
- Use the search icon in the Company Name box to search for the company you want to create the work item for.
Company users
Steps:
- Primary administrator must select Enable Company Group Filing option in the Profile section (See Question #9).
- Enter the “New Work Items” portal.
- Enter the year and filing period.
- The name of the registered company will appear under Company Name.
To create a work item for another company in the same NAIC group see Question #9.
9. How do I set up Group Filing for companies under the same NAIC group number?
To file for another company that has the same NAIC group number, use the following steps.
Steps:
- Log in
- Select the email address on the top right
- Select Profile
- Select Yes
- Select Update at the bottom of the page
- Select Home at the top
- Select on one of the Landing Pages
- The Company field will be populated with the company the user is registered for
- Select the magnifying glass (Company Launch lookup)
- Lookup records will pop up
The companies that have the same NAIC group number will be listed.
10. How do I add other users?
Only the primary and secondary administrator user may add additional users. Use the following steps to add a user.
Steps:
- Log on as administrator
- Select Manage Company
- Select Manage Users
- Select Add user
- Enter First Name, Last Name, Email Address
- Select Submit
11. Why can’t I view shared work items?
- Individual users – Use the Share function to share work items. Both parties must be registered as individual users. The Share function does not work for company registered users.
- Company users – The primary administrator must request access by emailing OASIS@insurance.ca.gov.
12. How do I know that my documents were successfully submitted?
An indication of “submitted” should appear next to the document.
13. I’ve just registered successfully. How do I submit filings for Corporate Affairs Bureau (CAB)?
To submit filings to CAB, use the following steps.
Steps:
- Log in
- Select “Legal Application Landing Page”
- Select New CAB Applications
- Choose an Application Group using the drop-down menu
- Choose an Application using the drop-down menu
- Choose the company that is submitting a filing
14. How do I file a Risk Purchasing Group (RPG) renewal application?
Steps:
- Log in
- Select “Legal Application Landing Page”
- Select New CAB Application
- Choose an Application Group: Risk Purchasing & Risk Retention Matters
- Choose an Application: Click Risk Purchasing Group Renewal
15. How do I file a Quarterly Gift Annuity Agreements (Form FAD-600) for Grants & Annuities?
(Please do not submit unless you have a new annuity agreement(s) to report or have to submit the 4th quarter Certification)
Steps:
- Log in
- Select Annual Statement Landing page
- Select the “New Work Items, Annuity Agreement” portal
- Enter Company name
- If registered as a company the Company Name should show in the Company space.
- If registered as an Individual, click on Search icon to find the desired company.
- Enter the Year of the document.
- Enter the Filing Period:
- 1 – 1st Quarter; 2 – 2nd Quarter; 3 – 3rd Quarter; 0 – 4th Quarter;
then select “Next”
- 1 – 1st Quarter; 2 – 2nd Quarter; 3 – 3rd Quarter; 0 – 4th Quarter;
- The Oasis Filing list will appear with 2 slots for the **600- G&A - Annuity Agreement Filing Instructions, Transmittal, Certification and Annuity Agreements Summary Forms (XLS and PDF).
- Select (check box) the document(s) you wish to upload and select “Next”.
- Follow the prompt to upload the files. *Note the format of the file must match what is prompted for upload. Complete the uploads.
- Select “Next” to submit the files.
- If you wish to pay the agreement fees online by credit card, contact Financial Records at CA Department of Insurance FSB Records Financial.Records@insurance.ca.gov. We will promptly review the filing and set up the system to allow the online payment. Re-enter the work item when it is designated “Ready for Payment”, continue “Next” until the payment page appears. Follow the prompts to enter the payment information. Continue (Next) to submit and complete the payment.
*The system will not allow a different format and an error message will appear. For the Excel format if you get the error message, you may have to change the excel format type (Ex: xlsm to xlsx).
** The Certification form is only due with the 4th quarter filing, and then only if you reported a new agreement sometime during the calendar year.
16. How do I file an Annual Statement of Segregated Annuity Fund (Form FAD-601) for Grants & Annuities?
Steps:
- Log in
- Select “Annual Statement Landing Page”
- Select the “New Work Items” portal
- Enter Company name
- If registered as a company the company Name should show in the Company space.
- If registered as an Individual, click on Search icon to find the desired company.
- Enter the Year of the document
- Enter the Filing Period (0 for the annual statement), select “Next”
- The OASIS Filing list will appear with 2 slots for the 601-Annual Statement (XLS and PDF)
- Select (check box) the document(s) you wish to upload and select “Next”
- Follow the prompt to upload the files. *Note the format of the file must match what is prompted for upload. Complete the uploads.
- Select “Next” to submit
17. I’ve just registered successfully. How do I submit a request for Verification of Securities for Securities Transaction Unit (STU) as an Auditor/Individual User?
To submit for Verification of Securities to the California Department of Insurance.
Steps:
- Navigate to Securities Transaction Landing Page > New ST Application > Verification of Securities
- Select the Company being audited
- Enter the number of companies being audited
- Upload the confirmation request as “Required”
- Pay by Credit Card
- Enter the payment information and “Submit Payment”
- After the request is submitted, please allow 7–10 business days to process the request
18. I’ve just registered successfully. How do I submit Security Transaction Requests (A-174/D-174) for Securities Transaction Unit (STU) as a Company User?
Steps:
- Navigate to Securities Transaction Landing Page > New ST Application
- Select the type of Securities Transactions Request (STR) to be uploaded: A-174, D-174, or Certificate of Deposit
- For A-174 and D-174: In the Transaction Type drop down, make the selection appropriate for the STR to be uploaded and enter the number of transactions
- Upload the completed STR as “Required”
- Pay by Credit Card
- Enter the payment information and “Submit Payment”
- For A-174: After the request is submitted, please allow 7–10 business days to process the request
For D-174: After the request is submitted, please check email used during registration, print the OASIS receipt for “Order Confirmation”, and forward the Form D-174 even exchange request and OASIS receipt to the depository.
19. How do I contact the Securities Transaction Unit (STU) if I need assistance?
Contact the California Department of Insurance for securities-related questions by email to Securities@insurance.ca.gov.
