FILING Review

Related Information

Filing Review Overview

PSLA reviews information submitted by licensees to ensure it is accurate, consistent, and comprehensive.

Image Review

  • 1609-PR:  If the original filing is type 1609-SLL/1609-PR, an image of the signed 1609-PR producer affidavit form must be submitted with the filing. PSLA compares information on the 1609-PR producer affidavit image against the data entered into EFS for the same filing. If there are discrepancies the filing will be returned and an email will be sent to the licensee and the Filing Return contact.  Refer to 1609-PR Image Review and Pennsylvania Surplus Lines Law Section 1609 for details.
  • 1620 Monthly Report:  An image of the signed and completed 1620 Monthly Report must be submitted with the totals entered into EFS. PSLA compares the information on the 1620 Monthly Report image against the totals entered into EFS. If there are discrepancies the report will be returned and an email will be sent to the licensee and the 1620 Monthly Report contact. Refer to 1620 Report Image Review and Pennsylvania Surplus Lines Law Section 1620 for details.
  • RCT-123 Annual Tax Report: An image of the signed and completed RCT-123 Annual Tax Report must be submitted with the totals entered into EFS. PSLA compares the information on the RCT-123 image against the totals entered into EFS. If there are discrepancies the report will be returned and an email will be sent to the licensee and the Tax Return contact. Refer to RCT-123 Report Image Review and Pennsylvania Surplus Lines Law Section 1621 for details.

Reconciliation

Reconciliation compares information submitted into EFS to ensure it is consistent and comprehensive.

  • RCT/1620:  The totals from the RCT-123 Annual Tax Return are compared against the 1620 Monthly Reports for the same year. If there are discrepancies the licensee will be notified via email.
  • 1620/Transactions:  The totals from the 1620 Monthly Report are compared against transactions for the same month. If there are discrepancies the licensee will be notified via email.
  • RCT/Transactions:  The totals from the RCT-123 Annual Tax Return are compared against transactions (original filings and endorsements) for the same year. If there are discrepancies the licensee will be notified via email.

Examination

Examination analyzes the content of specific filings to ensure it is accurate.

  • Tax Exempt:  Filings comply with the Department of Revenue Surplus Lines Agents Tax.
  • 1609-B: There must be 1609-SLL/1609-PR filings on record for 3 consecutive years.
  • 1610-A: Filings with a policy effective date after June 30, 2011 must meet the requirements listed in Section 1610(a.1) and filings with a policy effective date before July 1, 2011 must meet he requirements listed on the Filing Types page. 
  • 1604-E: The insurance coverage must be on the Export List.