If the ISIS Inquiry Service states that financial statements have already been received for an issuer, does the holder of a new issue need to submit an ATF?
An ATF must be submitted for every issue owned by an insurer. The “financial statements” message applies only to Annual Updates. If an insurer purchases a new issue of the issuer, they must submit an Initial Filing ATF with the appropriate documents for that security. Please refer to the Purposes and Procedures Manual of the NAIC Securities Valuation Office and How To Comply for more information on required documentation for specific security types. You can order copies from the NAIC Store.
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