List of Project Reports on Mutual Fund

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					                                ISIS HELP INDEX



ISIS Help Contents
ISIS Overview
Update Contact Information
Inquiry Service
Authorization to File (ATF)
Corporate Securities
Municipal Bonds
Federal Government Securities
Structured Securities
Sovereign and Supranational
Subsidiary, Controlled or Affiliated (SCA)
InfoReq Response
Renumber Request
Pricing Request
Bank Letter of Credit
Counterparty Designation
Mutual Fund
Surplus Notes (NAIC 1 Equivalent)
Schedule BA Asset
Surplus Notes (NAIC2 – NAIC6 Equivalents)

Filing Exempt (FE)

Automated Valuation Service (AVS)
Search/Maintain Portfolio
Manage Portfolio Requests
View AVS Alert Service Report
Update Period-End Order/AVS Contact
View AVS Bulletin Board




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                                            ISIS HELP INDEX



ISIS Overview
The Integrated Securities Information System (ISIS) is an Internet-based system that helps customers
comply with the policies and procedures of the NAIC Securities Valuation Office (SVO).

The system was designed as an Internet application to allow customers easier access to the applications. In
addition, the NAIC will be able to enhance the systems as needed with no need to ship new software to
customers.

To use ISIS, you must have Internet access from your PC with either Firefox 2.0 or 3.0, or Internet
Explorer 7 or 8, as your Web browser. If you wish to file securities with the SVO you must have access
to a printer with bar code fonts installed.

ISIS is composed of the following applications:
                  Inquiry Service
                  Authorization to File (ATF)
                  Filing Exempt (FE)
                  Automated Valuation Service (AVS)




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                                             ISIS HELP INDEX



Update Contact Information

Authorization To File (ATF) Page
After logging into ISIS, access the Authorization to File page by clicking the ATF link on the top menu bar.

Select Client or Company from drop down list.

Click the Update Contact Information link to the right of the Client list.

ATF – Address Links
An ATF – Address Change screen will appear with the Company Name in the center and 3 Address links
just below it.
         Update Bill-to Address – indicates where invoices will be sent
         Update Ship-to Address – depends on the billing scenario
         Update Sold-to Address – reflects the contact filing the ATF

Billing Scenarios
1. For Client Only IDs, the Bill-to, Ship-to and Sold-to address information will be identical.

2. For Agent IDs where the Agents pays on the invoice, the Agent contact information will appear in the
Bill-to and Sold-to address links. The Ship-to link will contain the Client contact information.

3. For Agent IDs where the Client pays on the invoice, the Agent contact information will appear in the
Ship-to and Sold-to address information. The Client contact information will be available in the Bill-to
link.

The Back button on the bottom of the page will lead you back to the Authorization to File page.

ATF – Address Change
To view or update one of the addresses, click on the appropriate address link.

The subsequent page will contain the Client Name, Contact Name, and Agent Name (for Third Party Agent
accounts) as headers on the upper left of the page.

Another header in the center of the screen indicates which Address link you‟re currently viewing.

The following fields are available to update for all 3 Address links:

Company Name
Address 1
Address 2
City, State, Zip
Country
Phone, Ext (Company)
Contact (First Name, Last Name)
Phone, Ext (Contact)
Fax
E-Mail Address

Once you‟re done updating any records, press the Finish button. The next screen should display
“CHANGE MADE SUCCESSFULLY” with a Back button below, leading you back to the Authorization
to File page.




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                                            ISIS HELP INDEX


NOTE: If you encounter any problems while updating your customer information,
please contact the ATF Administrator via email at avsisis@naic.org.

Please be aware that it will require 24 hours before your changes are visible on the
ATF page. To ensure your information has been updated successfully, please take a
moment to review them on the next business day. If the changes are not visible, and
the ATF Administrator has not already contacted you, please do so by email at
avsisis@naic.org.
If you are accessing an Address page for viewing purposes only, select the Back button to return to the
previous ATF – Change Address screen with the Company Name and 3 Address links.




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                                            ISIS HELP INDEX



Inquiry Service
       The Inquiry Service link is available for customers to obtain pertinent filing information for a
        specific security.

Once a valid CUSIP/PPN/CINS number is entered on the Inquiry Service page, the customer will know if
the security:

       Is Filing Exempt or Unconfirmed FE
       Is in the SVO Database. If security is in VOS, the Inquiry Service page will reveal whether it
        contains a current year Review Date.
       Contains ATF status, i.e. either created but not yet received by the SVO or received by the SVO
        but not yet completed.
       Has outstanding InfoReq information
       Is assigned Group Code 99 (specific text message)
       Matured or is near maturity within calendar year (specific text message)
       Already has financial information received for a particular issuer in the current year (specific text
        message)

However, the Inquiry Service will not display the following information:

       The designation assigned to the security by the SVO.
       The name of the insurance company who filed the security.

NOTE: The Inquiry Service is free of charge and an unlimited number of customers can
access the system simultaneously. Customers do not need a user id and password to access
Inquiry Service.

To use the Inquiry service:
1. Click the Inquiry Service link on the navigation bar at the top of the ISIS Home Page
    (https://isis.naic.org/).
2. Enter the CUSIP/PPN/CINS number of the security in the box.
3. Click the Search link under the box or press Enter. The available information about the selected
    security will be displayed at the bottom of the page. If an invalid CUSIP/PPN/CINS was selected, an
    error message will be displayed.
4. To search for another security, enter the CUSIP/PPN/CINS number in the box and click the search link
    again.
5. To return to the ISIS Home Page, click the Home link on the left of the navigation bar at the top of the
    page.
6. To login to ISIS and use the ATF or AVS services, click the Login link on the right of the navigation
    bar at the top of the page.




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                                             ISIS HELP INDEX



Authorization to File
The Authorization to File (ATF) system is used to file newly acquired securities for valuation and to
perform annual updates on securities in the company's portfolio. It is also used to submit material changes
to a filing and to appeal an SVO designation or price.

You are required to complete specified information about the security being filed. Once this information is
completed, the system will prompt you to save and print the ATF form. The customer will attach the ATF
form to the rest of the information to be filed with the SVO.

If you enter a CUSIP number for which another customer has already completed an ATF, you will not be
allowed to complete a filing. This function will eliminate different customers filing duplicate information
with the SVO.

The last page of the ATF form includes a checklist of the information that is required by the SVO as part of
the filing packet. This checklist will help customers file all necessary information with the original filing,
as well as reduce the number of Information Request letters that must be sent.

The following departments/services are available within the ATF application. Detailed information and
instructions for each department/service follow the general ATF instructions.

Corporate Securities
Municipal Bonds
Federal Government Securities
Structured Securities
Sovereign and Supranational
Subsidiary, Controlled or Affiliated (SCA)
InfoReq Response
Renumber Request
Pricing Request
Bank Letter of Credit
Counterparty Designation
Mutual Fund
Surplus Notes (NAIC1 Equivalent)
Schedule BA Asset
Surplus Notes (NAIC2 – NAIC6 Equivalents)

NOTE: To access the ATF application, the customer must have a user id and password.
Contact the NAIC Help Desk at (816) 783-8500 or help@naic.org to obtain this information.

To use the ATF application:
1. Click the Login link on the right of the navigation bar at the top of the ISIS Home Page
    (https://isis.naic.org/).
2. Enter your ATF User ID and password in the appropriate fields.
3. Click the Login button beneath or press Enter. An ATF link will be displayed in the center of the
    navigation bar at the top of the page.
4. Click the ATF link. An ATF Login Message page may periodically appear with up-to-date ISIS
    information for customers. Click the Continue to ATF link beneath the message to proceed to next
    page.
5. The Authorization to File (ATF) page will appear where customers can determine the company or
    client for which they are filing. The Update Contact Information link is available on this page (see
    Update Contact Information section). The Delete ATF link is also available on this page. For more
    information on how the Delete ATF feature works, refer to the Getting Started in ISIS document
    http://www.naic.org/documents/SVO_GettingStartedISIS.pdf.


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                                              ISIS HELP INDEX


6.    Click the Next button at the bottom of the page to continue.
7.    A Schedule BA Assets ATF Message will then appear with specific instructions on how to create
      filings for Schedule BA securities. Click Next to continue.
8.    A divided ATF page will now display. The top half is applicable for filing Corporate, Municipal,
      Federal Government, Structured Securities and Sovereign and Supranational while the bottom half can
      be used for other Departments. A SVO Forms link (www.naic.org/svo.htm), available on the upper
      right of the ATF page, contains a checklist of additional documents that will be required for specific
      submissions (See Filing and Instruction Forms section).
9.    For Departments - Corporate, Municipal, Federal Government, Structured Securities and Sovereign
      and Supranational on the top half of the page, a CUSIP/PPN/CINS number can be entered where the
      ATF application will then determine its validity, Filing Exempt eligibility, outstanding filings, VOS
      database status, etc. and ultimately progress to the appropriate ATF screen whether it is an Initial
      Filing, Annual Update, Material Change, or Appeal screen.
10.   To create a Renumber ATF for a security, enter a CUSIP/PPN/CINS number in the prompt and check
      off the Renumber Request box just below it.
11.   To create a Pricing ATF for a security, enter a CUSIP/PPN/CINS number in the prompt and check off
      the Pricing Request box just below it.
12.   To create a Schedule BA ATF for a security, enter a CUSIP/PPN/CINS number in the prompt and
      check off the Schedule BA Asset box just below it.
13.   The subsequent filing screens will require customers to answer specific questions about the filing.
      Once this process is complete, click the Finish button on the bottom of the last page.
14.   The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
      RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X”
      the ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF
      Type (X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing
      Request) or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq
      Response). Save the file to your PC hard drive by right clicking the ATF link and selecting the “Save
      Target As…” option. Print the ATF form for submission and include with the filing packet.
15.   To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
      Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and
      AVS Bulletin Board for further details.
16.   To log out of ATF and return to the ISIS Home Page, click the Logout link at the right of the
      navigation bar at the top of the page.
17.   To return to the ISIS Home Page without logging out, click the Home link on the left of the navigation
      bar at the top of the page.
18.   To navigate to other systems within ISIS, use the links at the center of the navigation bar at the top of
      the page.

Corporate Securities
This department within the Authorization to File system is for filing corporate debt obligations issued by
corporate entities, as opposed to those issued by government agencies or municipalities.

Corporate security types include:
                 Debt
                 Medium Term Notes
                 Project Finance (Power and Pipeline Related)
                 Preferred Stock
                 Public Common Stock
                 Private Common Stock
                 Foreign Common Stock and ADRs
                 Stock Warrant or Right

The following filing types are available:




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                                               ISIS HELP INDEX


Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a corporate filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
 The application will then perform the following checks:
          A) Validity - If the number is invalid, an error message will appear.
          B) Filing Exempt Status – If the valid security meets the Filing Exempt criteria, a notice will
          appear. However, the customer will have the option of discontinuing the filing process or
          proceeding by clicking the Next button.
          C) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
          block message will appear preventing the customer from creating either one of those filings.
          However, Material Change filings can still be created from this point by selecting the Next button.
          D) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
          Department and Security Type will have to be selected. The Security Type options will change to
          match its corresponding Department. For example, the application will automatically display the
          Corporate Security Types listed above if Corporate was chosen.
          If the security is already in VOS, the application will utilize the Department and Security Type
          information stored in the database. If the VOS security is designated as Corporate, a Corporate –
          ATF page will then appear with the option to file an Annual Update, Material Change, or Appeal.
          The Annual Update screen will display pertinent non-editable VOS information including Group
          Code, SIC, and assigned SVO Analyst.
5. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.
6. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
7. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.




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                                               ISIS HELP INDEX


Municipal Bonds
This department within the Authorization to File system is for filing debt obligations issued by municipal
entities. These bonds may be used to finance a government's general financial needs or to fund a special
project.

Municipal Bond security types include:
                Revenue Bonds
                General Obligation Bonds
                Annual Appropriation Bonds
                Special Assessment Bonds
                Municipal Lease Bonds
                IDR/IBD/PCR
                Lottery
                Canadian Municipal Bond

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a municipal filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
 The application will then perform the following checks:
         A) Validity - If the number is invalid, an error message will appear.
         B) Filing Exempt Status – If the valid security meets the Filing Exempt criteria, a notice will
         appear. However, the customer will have the option of discontinuing the filing process or
         proceeding by clicking the Next button.
         C) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
         block message will appear preventing the customer from creating either one of those filings.
         However, Material Change filings can still be created from this point by selecting the Next button.
         D) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
         Department and Security Type will have to be selected. The Security Type options will change to
         match its corresponding Department. For example, the application will automatically display the
         Municipal Security Types listed above if Municipal was chosen.
         If the security is already in VOS, the application will utilize the Department and Security Type
         information stored in the database. If the VOS security is designated as Municipal, a Municipal –



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                                               ISIS HELP INDEX


          ATF page will then appear with the option to file an Annual Update, Material Change, or Appeal.
          The Annual Update screen will display pertinent non-editable VOS information including Group
          Code, SIC, and assigned SVO Analyst.
5. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.
6. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
7. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Federal Government Securities
This department within the Authorization to File system is for filing debt obligations issued by the U.S.
Government.

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a federal government filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
 The application will then perform the following checks:
         A) Validity - If the number is invalid, an error message will appear.
         B) Filing Exempt Status – If the valid security meets the Filing Exempt criteria, a notice will
         appear. However, the customer will have the option of discontinuing the filing process or
         proceeding by clicking the Next button.
         C) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
         block message will appear preventing the customer from creating either one of those filings.
         However, Material Change filings can still be created from this point by selecting the Next button.



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                                               ISIS HELP INDEX


          D) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
          Department and Security Type will have to be selected.
          If the security is already in VOS, the application will utilize the Department and Security Type
          information stored in the database. If the VOS security is designated as Government, a
          Government – ATF page will then appear with the option to file an Annual Update, Material
          Change, or Appeal. The Annual Update screen will display pertinent non-editable VOS
          information including Group Code, SIC, and assigned SVO Analyst.
5. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.
6. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
7. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Structured Securities
This department within the Authorization to File system is for filing structured securities.

Structured security types include:
                 Credit Tenant Loans
                 Real Estate Investment Trusts
                 Collateralized Mortgage Obligations
                 Government Agency Collateralized Mortgage Obligations
                 Asset Backed Securities
                 Collateralized Bond Obligations
                 Collateralized Loan Obligations
                 Commercial Mortgage Backed Securities
                 Residential Mortgage Backed Securities
                 Equity Linked Securities
                 Replication (Synthetic Asset) Transactions
                 Military Housing Bonds

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.




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                                               ISIS HELP INDEX


Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a structured security filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
 The application will then perform the following checks:
          A) Validity - If the number is invalid, an error message will appear.
          B) Filing Exempt Status – If the valid security meets the Filing Exempt criteria, a notice will
          appear. However, the customer will have the option of discontinuing the filing process or
          proceeding by clicking the Next button.
          C) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
          block message will appear preventing the customer from creating either one of those filings.
          However, Material Change filings can still be created from this point by selecting the Next button.
          D) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
          Department and Security Type will have to be selected. The Security Type options will change to
          match its corresponding Department. For example, the application will automatically display the
          Structured Security Types listed above if Structured was chosen.
If the security is already in VOS, the application will utilize the Department and Security Type information
stored in the database. If the VOS security is designated as Structured, a Structured – ATF page will then
appear with the option to file an Annual Update, Material Change, or Appeal. The Annual Update screen
will display pertinent non-editable VOS information including Group Code, SIC, and assigned SVO
Analyst.
5. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.
6. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
7. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Sovereign and Supranational
This department within the Authorization to File system is for filing corporate debt obligations issued by
foreign government agencies or municipalities.

Sovereign security types include:
                  Foreign Government
                  Supranational Entity

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.




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                                              ISIS HELP INDEX


Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a sovereign filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
 The application will then perform the following checks:
          A) Validity - If the number is invalid, an error message will appear.
          B) Filing Exempt Status – If the valid security meets the Filing Exempt criteria, a notice will
          appear. However, the customer will have the option of discontinuing the filing process or
          proceeding by clicking the Next button.
          C) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
          block message will appear preventing the customer from creating either one of those filings.
          However, Material Change filings can still be created from this point by selecting the Next button.
          D) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
          Department and Security Type will have to be selected. The Security Type options will change to
          match its corresponding Department. For example, the application will automatically display the
          Sovereign Security Types listed above if Sovereign was chosen.
          If the security is already in VOS, the application will utilize the Department and Security Type
          information stored in the database. If the VOS security is designated as Sovereign, a Sovereign –
          ATF page will then appear with the option to file an Annual Update, Material Change, or Appeal.
          The Annual Update screen will display pertinent non-editable VOS information including Group
          Code, SIC, and assigned SVO Analyst.
5. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.
6. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
7. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Subsidiary, Controlled or Affiliated (SCA)
This department within the Authorization to File system is for filing debt obligations of Subsidiary,
Controlled or Affiliated (SCA) companies. An SCA company is defined as: a company that is in a
relationship with another company that possesses, directly or indirectly, the power to direct or cause the


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                                               ISIS HELP INDEX


direction of the management and policies of the SCA company, whether through the ownership of voting
securities, by contract or otherwise.

SCA security types include:
                 Preferred Stock (SCA Insurer)
                 Preferred Stock (SCA Non-Insurer)
                 Common Stock

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit an SCA security filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Subsidiary, Controlled, Affiliate (SCA) button on bottom half of page (Other
Departments/Services section) and click the Next button below.
5. Select the filing type you are submitting from the Filing Type list on the left side of the page.
6. Select the security type you are filing from the Security Type list on the right side of the page.
7. Click the Next button at the bottom of the page.
8. For Filing Types – Initial Filing and Annual Update, the subsequent page will ask for the Company
Code (Parent), CUSIP/PPN/CINS (Subsidiary), and Annual Statement (Filing Year) for the filing.
9. For Filing Types - Appeal or Material Change, the next page will ask for the Company Code (Parent)
and CUSIP/PPN/CINS (Subsidiary).
10. Enter the appropriate values for these fields and press the Next button.
11. If the values entered in these fields are invalid or have already been filed for the filing year, the
application will display the appropriate error message and preclude the filing process for the selected
security.
12. Continue through the remaining pages of the filing by completing all the fields on each page and
clicking the Next button to continue.
13. The subsequent filing screens will require customers to answer specific questions about the filing.
Once this process is complete, click the Finish button on the bottom of the last page.
14 The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the



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                                            ISIS HELP INDEX


file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
15. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


InfoReq Response
This department within the Authorization to File system is used to respond to an Information Request
(InfoReq) from the SVO. If the appropriate documentation does not accompany an Initial Filing or Annual
Update ATF, an SVO analyst will issue an InfoReq indicating which documents are missing. Filers will
have 90 days to submit the missing information. The SVO will discard all InfoReq filings not received
within 90 days.

To submit an InfoReq response:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select InfoReq Response button on bottom half of page (Other Departments/Services section) and click
the Next button below.
5. Enter ATF Number of the security containing the outstanding InfoReq on the following screen and
press the Next button.
Hint: ATF Number will appear when CUSIP/PPN/CINS with outstanding InfoReq is entered in Inquiry
Service.
6. The Information Request Response page will appear. Populate the fields on this page and click the
Next button.
7. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
8. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Renumber Request
This department within the Authorization to File system is for submitting a request to renumber (change the
CUSIP for) a security. The Renumber Request screen that appears for a security is predicated on its
Department (Corporate, Municipal, Structured). Therefore, securities eligible for renumbering must
already be in the VOS database.

To submit a renumber request:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
5. Check off the Renumber Request box beneath and click the Next button to the right.
6. The application will then check whether the security is a valid CUSIP number and in the VOS database.




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                                              ISIS HELP INDEX


7. If the criteria are met, a Renumber Request page will appear requiring customers to submit specific
information, including the new CUSIP number. Once this process is complete, click the Finish button on
the bottom of the last page.
8. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
9. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Pricing Request
This department within the Authorization to File system is for submitting a request to value a security
already in the VOS database. For more information, refer to the Pricing Request ATF Instructions
http://www.naic.org/documents/svo_Pricing_Request_ISISATF2005.pdf.

To submit a pricing request:
    1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF)
        page.
    2. Select the company for which you are submitting the filing from the drop down list.
    3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the
        ATF page is reached.
    4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
    5. Check off the Pricing Request box beneath and click the Next button to the right.
    6. The application will determine whether security meets specific criteria.
    7. If the criteria are met, a Pricing Request ATF Message will appear explaining the mechanics of
        batching multiple securities within a single ATF.
    8. A Pricing Request page will then appear requiring customers to submit specific information. Once
        this process is complete, click the Finish button on the bottom of the last page.
    9. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER
        (X). RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF
        number, “X” the ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text
        Format. The ATF Type (X) will either be an “I” for Initial (Initial Filing, Annual Update,
        Renumber Request, and Pricing Request) or an “S” for Supplement (Appeal, Material
        Change/Additional Information, InfoReq Response). Save the file to your PC hard drive by right
        clicking the ATF link and selecting the “Save Target As…” option. Print the ATF form for
        submission and include with the filing packet.
    10. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-
        Filing Instructions document available on the SVO web page
        (http://www.naic.org/svo_avs_isis.htm) and AVS Bulletin Board for further details.


Bank Letter of Credit
This department within the Authorization to File system is used for Bank List filings. The Bank List is a list
of banks meeting the credit standards of the SVO.

The following filing types are available:

Initial Filing
The Initial Filing type is used when submitting a filing to the Bank List for the first time.




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                                              ISIS HELP INDEX


Annual Update
The Annual Update type is used to provide updated information on a bank on the Bank List so that the
SVO can perform its annual review (renewal).

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the bank or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the bank.

To submit a Bank Letter of Credit application:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Bank Letter of Credit button on bottom half of page (Other Departments/Services section) and
click the Next button below.
5. Select the filing type you are submitting from the list and click the Next button.
6. Enter the Bank Name and Branch Name in the appropriate fields. NOTE: If you are submitting an
Annual Update or Material Change, the Bank Name and Branch Name values entered in the fields require
an identical match, character by character. The best way to retrieve these identical values is through the
Search function. Click the Search link to the right of the page and select the Bank Name and Branch Name
values from the display list.
7. Click the Next button. If the information entered on the preceding page is valid and another filing has
not already been submitted for the current year, the next page will appear. If not, a block message will
appear indicating a filing has already been received and conclude the filing process.
8. Continue through the remaining pages of the filing by completing all the fields on each page and
clicking the Next button to continue.
9. Click the Finish button when all the information is completed at the bottom of the last page.
10. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
11. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.

Counterparty Designation
This department within the Authorization to File system is used by counter parties to obtain counterpart
ratings.

The following filing types are available:

Initial Filing
The Initial Filing type is used when submitting a counterparty filing for the first time.

Annual Update
The Annual Update type is used to provide updated information on counterparties so that the SVO can
perform its annual review.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the counterparty or a material change in the terms of the agreement. It is the


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                                             ISIS HELP INDEX


responsibility of the reporting insurance company to supply this information. This type is also used to
submit other pertinent information concerning the counterparty.

To submit a Counterparty Designation filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Counterparty Designation button on bottom half of page (Other Departments/Services section)
and click the Next button below.
5. Select the filing type you are submitting from the list and click the Next button.
6. Enter the Counterparty Name in the appropriate field. NOTE: If you are submitting an Annual Update or
Material Change, the Counterparty Name value entered in the field requires an identical match, character
by character. The best way to retrieve the identical value is through the Search function. Click the Search
link to the right of the page and select the Counterparty from the display list.
7. Click the Next button. If the information entered on the preceding page is valid and another filing has
not already been submitted for the current year, the next page will appear. If not, a block message will
appear indicating a filing has already been received and conclude the filing process.
8. Continue through the remaining pages of the filing by completing all the fields on each page and
clicking the Next button to continue.
9. Click the Finish button when all the information is completed at the bottom of the last page.
10. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
11. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.

Mutual Fund
This department within the Authorization to File system is used file a money market fund for the U.S.
Direct Obligations Exempt List, The U .S. Direct Obligations/Full Faith and Credit Exempt List or the
Class 1 List or to file a bond mutual fund for the Bond Mutual Fund List.

The following filing types are available:

Initial Filing
The Initial Filing type is used when submitting a mutual fund filing for the first time.

Annual Update
The Annual Update type is used to provide updated information on a mutual fund so that the SVO can
perform its annual review (renewal).

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of a mutual fund or a material change in the terms of the agreement. It is the
responsibility of the reporting insurance company to supply this information. This type is also used to
submit other pertinent information concerning the bank.

To submit a Mutual Fund filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.



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                                             ISIS HELP INDEX


3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Mutual Fund button on bottom half of page (Other Departments/Services section) and click the
Next button below.
5. A warning message will appear on the next screen:
If you are filing an issue of a Mutual Fund that is not listed on the SVO's Approved Mutual Fund
List, choose Corporate (Department) and Common Stock (Security Type). Do not select the Mutual
Fund option.
Click the Next button if the security is on the Approved Mutual Fund List.
6. Select the filing type you are submitting from the Filing Type list on the left side of the page.
7. Select the security type you are filing from the Security Type list on the right side of the page.
8. Click the Next button at the bottom of the page.
9. Enter the Complex Name, Fund Name, and CUSIP in the appropriate fields. NOTE: If you are
submitting an Annual Update or Material Change, the Complex Name, Fund Name, and CUSIP values
entered in the fields require an identical match, character by character. The best way to retrieve these
identical values is through the Search function. Click the Search link to the right of the page and select the
appropriate values from the display list.
10. Click the Next button. If the information entered on the preceding page is valid and another filing has
not already been submitted for the current year, the next page will appear. If not, a block message will
appear indicating a filing has already been received and conclude the filing process.
11. Continue through the remaining pages of the filing by completing all the fields on each page and
clicking the Next button to continue.
12. Click the Finish button when all the information is completed at the bottom of the last page.
13. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
14. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.

Surplus Notes (NAIC1 Equivalent)
This department within the Authorization to File system is used to submit information about the insurance
company submitting a filing.

To submit a Surplus Notes filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Surplus Notes button on bottom half of page (Other Departments/Services section) and click the
Next button below.
5. Enter the CUSIP/PPN/CINS number of the security and press the Next button.
6. If the information entered on the preceding page is valid and another filing has not already been
submitted for the current year, the next page will appear. If not, a block message will appear indicating a
filing has already been received and conclude the filing process.
7. Enter the insurance company name and contact information on the following page and click the Finish
button.
8. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the


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                                               ISIS HELP INDEX


file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
9. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.

Schedule BA Asset
Beginning in 2005, life insurance companies will have the option to report Schedule BA assets to the SVO.
A Schedule BA Assets ATF can be submitted ONLY if the security is reported on Schedule BA and meets
the criteria as described in Part 14 of the Purposes & Procedures Manual.

Schedule BA security types include:
                Bond-Like
                Preferred Stock-Like

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

Appeal
The Appeal type is used to appeal the designation or price of a security. To be considered the appeal must
present information not previously disclosed to the analyst and the information presented must be likely to
cause a change in the assigned designation or price.

To submit a Schedule BA Assets filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Enter the CUSIP/PPN/CINS number for the security in the prompt on the top half of the screen.
5. Check off the Schedule BA Asset box beneath and click the Next button to the right.
6. The application will then perform the following checks:
         Validity - If the number is invalid, an error message will appear.
         B) Outstanding Filings – If an Initial Filing or Annual Update currently exists for the security, a
         block message will appear preventing the customer from creating either one of those filings.
         C) VOS Status - If the security is not in VOS, a New Security Filing screen will appear where
         Security Type will have to be selected.
         If the security is already in VOS, the application will utilize the Department and Security Type
         information stored in the database. If the VOS security is designated as Schedule BA, a Schedule
         BA– ATF page will then appear with the option to file an Annual Update, Material Change, or
         Appeal. The Annual Update screen will display pertinent non-editable VOS information including
         Group Code, SIC, and assigned SVO Analyst.
7. The subsequent filing screens will require customers to answer specific questions about the filing. Once
this process is complete, click the Finish button on the bottom of the last page.



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                                               ISIS HELP INDEX


8. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the
file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
9. The Schedule BA ATF form will display Schedule BA as the Department and either Bond-
Like/Preferred-Stock Like/Surplus Note as Security Type options. However, Inquiry Service will display
„Corporate‟ as the Department and Schedule BA Bond-Like Asset/Schedule BA Preferred Stock-Like
Asset/Schedule BA Surplus Note as Security Type options.
10. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.


Surplus Notes (NAIC2 – NAIC6 Equivalents or Not Rated)
Capital or surplus debentures with NRSRO rating equivalents of a NAIC2 through 6 Designation or not
rated at all reported on Schedule D will be submitted. The criteria are described in Part 14 of the Purposes
and Procedures Manual.

The following filing types are available:

Initial Filing
The Initial Filing type is used when filing a security for the first time.

Annual Update
The Annual Update type is used to provide updated information so that the SVO can perform its annual
review of securities in the database.

Material Change/Additional Information
The Material Change/Additional Information type is used to file information that indicates a change in the
credit characteristics of the issuer or a material change in the terms of the agreement. It is the responsibility
of the reporting insurance company to supply this information. This type is also used to submit other
pertinent information concerning the issuer or security.

To submit a Schedule BA Surplus Note filing:
1. Log onto the Authorization to File application and proceed to the Authorization to File (ATF) page.
2. Select the company for which you are submitting the filing from the drop down list.
3. Click the Next button on this page and subsequent Schedule BA Assets ATF Message until the ATF
page is reached.
4. Select Schedule BA Surplus Notes button on bottom half of page (Other Departments/Services section)
and click the Next button below.
5. Enter the CUSIP/PPN/CINS number of the security, the Filing Type and press the Next button.
6. Select the Filing Year and press the Next button.
7. If the information entered on the preceding page is valid and another filing has not already been
submitted for the current year, the next page will appear. If not, a block message will appear indicating a
filing has already been received and conclude the filing process.
8. Enter the insurance company name and contact information on the following page and click the Finish
button.
9. The next screen will display the newly created ATF in Rich Text Format using an ATFNUMBER (X).
RTF format. For example, a “123456I.RTF” link would indicate “123456” as the ATF number, “X” the
ATF Type, and the “. RTF” extension reflects the file will be saved in Rich Text Format. The ATF Type
(X) will either be an “I” for Initial (Initial Filing, Annual Update, Renumber Request, and Pricing Request)
or an “S” for Supplement (Appeal, Material Change/Additional Information, InfoReq Response). Save the



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file to your PC hard drive by right clicking the ATF link and selecting the “Save Target As…” option.
Print the ATF form for submission and include with the filing packet.
10. To submit ATF and supporting documentation electronically to the SVO, refer to ISIS ATF E-Filing
Instructions document available on the SVO web page (http://www.naic.org/svo_avs_isis.htm) and AVS
Bulletin Board for further details.




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                                             ISIS HELP INDEX




Filing Exempt (FE)
The Filing Exempt link is available for customers to perform the following vital FE-related functions for
filers:

    1.   Check the FE status of a security already in the FE database.
    2.   Submit a security as Filing Exempt.

If a security is already in the FE database, the application will merely display whether it is FE Eligible
(Filing Exempt) or Not FE eligible (Unconfirmed FE).

However, the two functions mentioned above will be performed simultaneously when a previously
uncalculated security is selected.

Filing Exempt securities will be defined as:

    1) Bonds and Preferred Stocks containing a valid NRSRO rating equivalent to an NAIC1 to NAIC 6.
    2) Common Stocks not restricted to transferability and traded on the NYSE, the American Stock
       Exchange, or NASDAQ.

In direct contrast to being FE eligible, securities can also be classified as Unconfirmed FE. Unconfirmed
FE means:
           It is in Schedule D or was individually submitted for FE status and
           Failed to achieve FE status and
           Is either
                    In VOS but not currently reviewed or
                    Is not in VOS

NOTE: More information on Filing Exempt is available at
http://www.naic.org/svo_avs_isis.htm under the Filing Exempt (FE) Documentation
section.

NOTE: The Filing Exempt application is free of charge and an unlimited number of
customers can access the system simultaneously. Customers do not need a user id and
password to access Filing Exempt.

To use the Filing Exempt application:
    1. Click the Login link on the right of the navigation bar at the top of the ISIS Home Page
         (https://isis.naic.org/).
    2. The Filing Exempt link should then appear on the navigation bar.
    3. Enter the CUSIP/PPN/CINS number on the “Enter CUSIP for Filing Exempt” page and press
         Enter.
    4. A message will display to reveal whether the security is Filing Exempt or Unconfirmed FE.
    5. To search for another security, enter the CUSIP/PPN/CINS number in the box and click the search
         link again.
    6. To return to the ISIS Home Page, click the Home link on the left of the navigation bar at the top of
         the page.
    7. To login to ISIS and use the ATF or AVS services, click the Login link on the right of the
         navigation bar at the top of the page.




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                                            ISIS HELP INDEX



Automated Valuation Service (AVS)

The Automated Valuation Service (AVS) allows customers to view, update and maintain their company's
portfolio information.


The following functions are available within AVS. Detailed information and instructions for each function
follow the general AVS instructions.

                     Search/Maintain Portfolio
                     Manage Portfolio Requests
                     View AVS Alert Service Reports
                     Update Period-end Order/AVS Contact
                     View AVS Bulletin Board

To access the Automated Valuation Service:
1. Login to the ISIS home page at: https://isis.naic.org. The application login window will be displayed
    on top of the Home Page window.
2. Enter your AVS User ID and password in the appropriate fields. NOTE: AVS is a subscription only
    service and will not be available unless you have valid user id and system password. If you do not have
    a valid user id and password, contact the AVS Administrator at avsisis@naic.org.
3. Read and Approve of the terms, check the box signifying acceptance and click the Login button under
    the Password field. An Automated Valuation Services link will be displayed in the center of the
    navigation bar at the top of the page.
4. Click the Automated Valuation Services link. The AVS Disclaimer will be displayed with the terms of
    the AVS license agreement. NOTE: The disclaimer will be displayed each time you log in and select
    the AVS option. If you select the AVS option again before logging out, the disclaimer will not be
    displayed.
5. Select the function within the AVS system that you wish to perform.
6. To log out of the AVS system click the Logout link at the right of the navigation bar at the top of the
    page.
7. To return to the ISIS Home Page without logging out, click the Home link on the left of the navigation
    bar at the top of the page.
8. To navigate to other systems within ISIS, use the links at the center of the navigation bar at the top of
    the page.

Search/Maintain Portfolio
The Search/Maintain Portfolio function of the Automated Valuation Service is used to search the ISIS
tables, view the information found within the tables and add or delete securities from a portfolio.

Manage Portfolio Requests
This screen is where users do most of the portfolio maintenance. From here you can upload your Batch File
and receive a Transaction Report telling you which securities are currently in the system and where there
might be errors. It is also where you will receive a Valuation Report providing you with each securities
designation and any other information available.
The system processes requests in the order they are received approximately every quarter hour between the
hours of 6 a.m. and 9 p.m. Central Time. With the exception of period-end, you should be able to view and
retrieve a report from within a few minutes up to an hour (during heavy traffic) of submitting a request.

View AVS Alert Service Report
This report allows you to receive an e-mail notification when there is a change to any security in your
portfolio. The following changes to the VOS database will trigger the AVS alerts:

       When securities are added to the VOS database



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                                            ISIS HELP INDEX



        When the designation changes

        When the security is deleted (the vendor no longer rates the security)

Once you have received an alert, you can go in at any time in the next 90 days to retrieve the information.
You are also able to go in on a periodic basis and request a report that shows all Alerts generated for a
specific period of time, as long as it is within the 90-day limit.

Update Period -end Order/AVS Contact
This function of the Automated Valuation Service allows users to update their AVS contact information
and ensure their automatic period-end order is correct.

View AVS Bulletin Board
The View AVS Bulletin Board function of the Automated Valuation Service allows Full Access and
Inquiry Only customers to view important information regarding AVS. The system is composed of two
sections. The first section lists all the bulletins, while the second is used to view the bulletins.

To view AVS bulletins:
1. Access the Automated Valuation Service.
2. Click the View AVS Bulletin Board link. The AVS - Bulletins page will be displayed listing all
    bulletins available on the system. The date the bulletin was added and the subject of the bulletin will be
    displayed. The most recent bulletins will be on top.
3. To view a bulletin, click the subject link of the bulletin you wish to view. The AVS - Bulletin (View)
    page will be displayed. The actual text of the bulletin will be displayed, along with the intended
    audience for the message, who created the message, when it was created and the subject matter.
4. You may cycle through the bulletins on the system by clicking the Next and Previous links located at
    the top right of the Bulletin (View) page.

NOTE: Bulletins are read-only. You will not be able to respond to any of the bulletins.




                                               Page 25 of 25

				
DOCUMENT INFO
Description: List of Project Reports on Mutual Fund document sample