North Carolina Administrative Code

CHAPTER 06 - AGENT SERVICES DIVISION SUBCHAPTER 06A - AGENT SERVICES DIVISION SECTION .0100 - GENERAL PROVISIONS 11 NCAC 06A .0101 DEFINITIONS (a) In this Chapter, unless the context otherwise requires: (1) "Adjusting company" means any insurance company, independent adjusting co…

SECTION .0200 - DESCRIPTION OF FORMS 11 NCAC 06A .0201 GENERAL INFORMATION (a) All forms pertaining to licensure including applications, bonds, appointments, termination of appointments and other forms required by Chapter 58 shall be supplied by the Division. The Division shall m…

11 NCAC 06A .0210 N.C. RESIDENT BROKER'S INSURANCE BOND The "North Carolina Resident Broker's Insurance Bond" shall include the name of the principal, name of the surety, date and conditions of bond, bond number, amount of the bond, appropriate signatures and other pertinent info…

11 NCAC 06A .0211 N.C. NON-RESIDENT BROKER'S INSURANCE BOND History Note: Authority G.S. 58-33-30(f)(1); Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. February 1, 1989; Repealed Eff. February 1, 2008.

11 NCAC 06A .0212 LICENSES The Commissioner shall issue an electronic license record to the licensed individual or business entity showing the name of the licensee, identifying number of the licensee, date of issue and, if applicable, the type of insurance a licensee is authorize…

11 NCAC 06A .0217 NORTH CAROLINA NOTICE OF CANCELLATION History Note: Authority G.S. 58-33-55(a)(b); Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. February 1, 1989; Repealed Eff. February 1, 2008.

11 NCAC 06A .0218 TERMINATION OF AGENT WRITING AUTOMOBILE INSURANCE History Note: Authority G.S. 58-9; 58-40.01; 58-44.3; Eff. June 12, 1978; Repealed Eff. July 1, 1986.

11 NCAC 06A .0219 APPLICATION TO DETERMINE ELIGIBILITY FOR DESIGNATED AGENT The "Application to Determine Eligibility for Designated Agent" shall include the name and address of the agent, evidence that the agent has satisfied the statutory requirements set out in G.S. 58-37-35(g…

11 NCAC 06A .0220 DESIGNATED AGENT BOND The "Designated Agent Bond" shall include the name of the principal, name of the surety, date and conditions of the bond, bond number, amount of the bond, appropriate signatures and other pertinent information and must be accompanied by a p…

11 NCAC 06A .0234 RESIDENT SURPLUS LINES LICENSE RENEWAL History Note: Authority G.S. 58-2-40; 58-21-40(d); 58-21-65(d),(f); Eff. February 1, 1989; Temporary Amendment Eff. October 3, 1991 For a Period of 180 Days to Expire on March 30, 1992; Amended Eff. February 1, 1996; March …

11 NCAC 06A .0237 FOREIGN MILITARY SALES AGENT LICENSE APPLICATION The "Foreign Military Sales Agent License Application" shall include personal information, company name, number and address, signature of applicant and authorized company representative, a certificate signed by an…

11 NCAC 06A .0238 RENTAL CAR COMPANY LICENSE APPLICATION History Note: Authority G.S. 58-2-40; 58-33-17; 58-33-125(c); Temporary Adoption Eff. October 3, 1991 For a Period of 180 Days to Expire on March 30, 1992; Eff. March 1, 1992; Repealed Eff. October 1, 2010.

SECTION .0300 - EXAMINATIONS 11 NCAC 06A .0301 TYPES OF EXAMINATIONS History Note: Authority G.S. 58-2-40; 58-21-65(b)(3); 58-33-30(e); Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. February 1, 1996, October 1, 1990; February 1, 1989; July 1, 1986; Repealed Ef…

11 NCAC 06A .0302 EXAMINATIONS – Special ACCOMMODATIONS (ADA) An individual with a physical disability may have special assistance from other individuals acting as readers or recorders. Applicants requiring special assistance shall request the assistance from the test administrat…

11 NCAC 06A .0303 SCHEDULE OF EXAMINATIONS The Division will publish or cause to have published the current schedules of examinations. The schedules shall include day, time and location of examination. The Commissioner may set other special times for examinations in addition to t…

11 NCAC 06A .0304 RESPONSIBILITY OF APPLICANT AT EXAMINATION SITE (a) Applicants who have not previously failed the same examination shall bring to the examination site the Examination Admission Ticket/Certificate of Course Completion, their confirmation numbers obtained from the…

11 NCAC 06A .0305 ADMINISTRATION OF EXAMINATION (a) Individuals applying for an agent or adjuster license shall present to the test site personnel upon request the applicable items described in 11 NCAC 06A .0304(a) through (d). (b) Applicants may take simple function calculators,…

11 NCAC 06A .0306 REGISTRATION FOR EXAMINATION History Note: Authority G.S. 58-2-40; 58-33-30(e); Eff. February 1, 1976; Readopted Eff. June 12 1978; Amended Eff. February 1, 1996; October 1, 1990; February 1, 1989; Repealed Eff. April 1, 2003.

SECTION .0400 - LICENSING PROCEDURES 11 NCAC 06A .0401 LICENSES: GENERAL PROVISIONS History Note: Authority G.S. 58-2-40; 58-21-65(f); 58-33-17; 58-33-25; 58-33-30(h); Eff. February 1, 1976; Readopted Eff. June 12, 1978; Temporary Amendment Eff. October 3, 1991 for a period of 18…

11 NCAC 06A .0402 LICENSING OF RESIDENT AGENT, LTD REPRESENTATIVE AND ADJUSTER (a) An applicant for a resident variable life and variable annuity product shall hold a resident life license before making application for a resident variable life and variable annuity product license…

11 NCAC 06A .0403 LICENSING: NONRESIDENT AGENT, LTD REPRESENTATIVE AND ADJUSTER History Note: Authority G.S. 58-2-40; 58-33-30(a),(h)(2); Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. October 1, 1990; February 1, 1989; Repealed Eff. April 1, 2003.

11 NCAC 06A .0404 LICENSING OF BROKER (a) An applicant shall be a licensed agent in North Carolina for each kind of insurance to be brokered. (b) A broker's license gives the holder authority to broker only those kinds of insurance for which he holds an agent's license. Brokering…

11 NCAC 06A .0405 LICENSING OF NONRESIDENT BROKER History Note: Filed as a Temporary Amendment Eff. October 3, 1991 For a Period of 180 Days to Expire on March 30, 1992; Authority G.S. 58-2-40; 58-33-30(f),(h)(2); 58-33-125(a); Eff. February 1, 1976; Readopted Eff. June 12, 1978;…

11 NCAC 06A .0408 LICENSING OF MOTOR VEHICLE DAMAGE APPRAISER History Note: Authority G.S. 58-2-40; 58-33-10(14); 58-33-30; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. October 1, 1990; February 1, 1989; July 1, 1986; Repealed Eff. February 1, 2008.

11 NCAC 06A .0409 LICENSING OF OTHER AGENTS AND ADJUSTERS History Note: Authority G.S. 58-9; 58-40; 58-268; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Repealed Eff. February 1, 1989.

11 NCAC 06A .0410 TEMPORARY LICENSE History Note: Authority G.S. 58-2-40; 58-33-65; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. February 1, 1996; October 1, 1990; February 1, 1989; July 1, 1986; Repealed Eff. April 1, 2003.

11 NCAC 06A .0411 LIMITED LICENSES History Note: Authority G.S. 58-41.2; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Repealed Eff. February 1, 1989.

11 NCAC 06A .0412 APPOINTMENT OF AGENT: RESPONSIBILITY OF COMPANY Before appointing an agent, an insurance company shall determine that: (1) The agent holds the proper license for each kind of authority for which the agent will be appointed; and (2) The agent has not committed an…

11 NCAC 06A .0413 LICENSING OF BUSINESS ENTITIES History Note: Authority G.S. 58-2-40; 58-33-31; Eff. February 1, 1989; Amended Eff. March 1, 2008; April 1, 2003; February 1, 1996; October 1, 1990; Repealed Eff. October 1, 2010.

11 NCAC 06A .0414 ADJUSTER'S LEARNER'S PERMIT History Note: Authority G.S. 58-2-40; 58-33-70; Eff. October 1, 1990; Amended Eff. April 1, 2003; Repealed Eff. February 1, 2008.

11 NCAC 06A .0415 LICENSING OF RENTAL CAR COMPANIES' EMPLOYEES/REPRESENTATIVES History Note: Filed as a Temporary Repeal Eff. October 3, 1991 For a Period of 180 Days to Expire on March 30, 1992; Authority G.S. 58-2-40; 66-205; Eff. October 1, 1990; Repealed Eff. March 1, 1992.

11 NCAC 06A .0416 LICENSING OF RENTAL CAR COMPANIES (a) An applicant must meet the minimum qualifications in G.S. 58-33-17. (b) An applicant must make application on a form prescribed by the Commissioner along with the fee prescribed by G.S. 58-33-125(c). (c) An applicant must su…

11 NCAC 06A .0417 REQUIREMENTS FOR PRE NEED LIMITED REP. AGENT Individuals applying to be licensed to sell prearrangement insurance policies, as defined in G.S. 58-60-35(a)(2), shall submit a Uniform Limited Insurance Representative Application and appropriate fees. Applicants sh…

11 NCAC 06A .0418 FINGERPRINTS REQUIRED FOR CRIMINAL RECORD CHECKS (a) An applicant for a resident insurance producer license shall furnish the Commissioner with a complete set of the applicant's fingerprints as authorized by G.S. 58-33-48. An applicant for an insurance producer …

SECTION .0500 - RENEWAL AND CANCELLATION OF LICENSES 11 NCAC 06A .0501 RENEWAL OF AGENT APPTS: LICENSES/LIMITED reps (a) Annually the Division shall notify each insurance company of dates and methods for renewing agent and limited representative appointments. Companies shall be g…

11 NCAC 06A .0504 FAILURE TO RENEW LICENSE Failure to renew a broker, limited representative, adjuster or motor vehicle damage appraiser license by March 31 by payment of the annual renewal fee as specified in G.S. 58-33-125(a) shall result in automatic lapse of the license on Ap…

11 NCAC 06A .0505 termination of appointments FOR LIMITED REPS All companies shall submit termination of appointments through an electronic system provided by the Commissioner. History Note: Authority G.S. 58-2-40; 58-2-250; 58-33-56(b); Eff. June 12, 1978; Amended Eff. October 1…

11 NCAC 06A .0506 CANCELLATION OF LICENSES ISSUED TO INDIVIDUALS (a) Any insurance producer, adjuster, viatical settlement broker or surplus lines licensee desiring to cancel a license shall submit a written request to the Division. (b) Cancellation of a license automatically ter…

11 NCAC 06A .0507 TERMINATION OF AGENT APPOINTMENT History Note: Authority G.S. 58-33-40(e); Eff. February 1, 1989; Repealed Eff. April 1, 2003.

11 NCAC 06A .0508 RENTAL CAR COMPANY LICENSE RENEWAL History Note: Authority G.S. 58-2-40; 58-33-17; 58-33-25(n); 58-33-125; Temporary Adoption Eff. October 3, 1991 for a period of 180 days to expire on March 30, 1992; Eff. March 1, 1992; Repealed Eff. April 1, 2003.

SECTION .0600 - DENIAL OF LICENSE 11 NCAC 06A .0601 BASIS FOR DENIAL OF LICENSE History Note: Authority G.S. 58-2-40; 58-33-45; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. October 1, 1990; February 1, 1989; July 1, 1986; Repealed Eff. April 1, 2003.

11 NCAC 06A .0602 COURT RECORDS AND AFFIDAVITS REQUIRED An individual who has been convicted of an offense specified in G.S. 58-33-46(a)(6), shall submit to the Division the following information with the application for licensure and examination: (1) a copy of the entire court r…

11 NCAC 06A .0603 EVALUATION OF RECORDS AND AFFIDAVITS In its evaluation of court records and affidavits, the Division shall consider all information and as many facts as are presented to it, including, but not limited to: (1) time elapsed since last offense or conviction; (2) se…

11 NCAC 06A .0604 PERSONAL INTERVIEWS History Note: Authority G.S. 58-33-45; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Amended Eff. February 1, 1989; Repealed Eff. February 1, 2008.

11 NCAC 06A .0605 NOTIFICATION OF DENIAL OF LICENSE History Note: Authority G.S. 58-9; Eff. February 1, 1976; Readopted Eff. June 12, 1978; Repealed Eff. February 1, 1989.

SECTION .0700 - PRELICENSING EDUCATION 11 NCAC 06A .0701 GENERAL REQUIREMENTS History Note: Authority G.S. 58-2-40; 58-33-30(d); 58-33-35; 58-33-132; Eff. February 1, 1989; Amended Eff. April 1, 1996; October 1, 1990; Amended Eff. February 1, 2008; Pursuant to G.S. 150B-21.3A, ru…

11 NCAC 06A .0702 PRELICENSING EDUCATION SCHOOLS History Note: Authority G.S. 58-2-40; 58-33-30(d); 58-33-132; Eff. February 1, 1989; Amended Eff. February 1, 2008; April 1, 2003; April 1, 1996; November 1, 1990; Pursuant to G.S. 150B-21.3A, rule is necessary without substantive …

11 NCAC 06A .0703 PROGRAM DIRECTORS History Note: Authority G.S. 58-2-40; 58-33-30(d); 58-33-132; Eff. February 1, 1989; Amended Eff. February 1, 2008; October 1, 1990; Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. June 25, 2016; Temporar…

11 NCAC 06A .0704 COURSES History Note: Authority G.S. 58-2-40; 58-33-30(d); 58-33-132; Eff. February 1, 1989; Amended Eff. February 1, 2008; April 1, 1996; October 1, 1990; Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. June 25, 2016; Tem…

11 NCAC 06A .0705 INSTRUCTORS History Note: Authority G.S. 58-2-40; 58-33-30(d); 58-33-132; Eff. February 1, 1989; Amended Eff. February 1, 2008; April 1, 1996; October 1, 1990; Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. June 25, 2016;…