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15 U.S.C. § 6762 — Coordination with Financial Industry Regulatory Authority

Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 6762 — Coordination with Financial Industry Regulatory Authority

The Association shall coordinate with the Financial Industry Regulatory Authority in order to ease any administrative burdens that fall on members of the Association that are subject to regulation by the Financial Industry Regulatory Authority, consistent with the requirements of this subchapter and the Federal securities laws.

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Source file: Laws/federal/codes/united-states-code/title-15/section-6762-coordination-with-financial-industry-regulatory-authority--fb5fae4749.md
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Source location: Title 15, Chapter 93, § 6762; chapter-093-insurance.md

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 6758 — Report by the Association

**(a) In general** As soon as practicable after the close of each fiscal year, the Association shall submit to the President, through the Department of the Treasury, and the States (including State insurance regulators), and shall publish on the website of the Association, a written report regarding the conduct of its business, and the exercise of the other rights and powers granted by this subchapter, during such fiscal year. **(b) Financial statements** Each report submitted under subsection (a) with respect to any fiscal year shall include audited financial statements setting forth the financial position of the Association at the end of such fiscal year and the results of its operations (including the source and application of its funds) for such fiscal year.

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 6781 — Definitions

For purposes of this subchapter, the following definitions shall apply: (1) **Business entity** — The term “business entity” means a corporation, association, partnership, limited liability company, limited liability partnership, or other legal entity. (2) **Depository institution** — The term “depository institution” has the meaning as in [section 1813 of title 12](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1813&num=0&edition=prelim). (3) **Home State** — The term “home State” means the State in which the insurance producer maintains its principal place of residence or business and is licensed to act as an insurance producer. (4) **Insurance** — The term “insurance” means any product, other than title insurance or bail bonds, defined or regulated as insurance by the appropriate State insurance regulatory authority. (5) **Insurance producer** — The term “insurance producer” means any insurance agent or broker, excess or surplus lines broker or agent, insurance consultant, limited insurance representative, and any other individual or entity that sells, solicits, or negotiates policies of insurance or offers advice, counsel, opinions or services related to insurance. (6) **Insurer** — The term “insurer” has the meaning as in [section 313(e)(2)(B) of title 31](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title31-section313/e/2/B&num=0&edition=prelim). (7) **Principal place of business** — The term “principal place of business” means the State in which an insurance producer maintains the headquarters of the insurance producer and, in the case of a business entity, where high-level officers of the entity direct, control, and coordinate the business activities of the business entity. (8) **Principal place of residence**

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 6762 — Right of action

Page 2288 TITLE 15—COMMERCE AND TRADE § 6761 1 So in original. The comma probably should not appear. Editorial Notes PRIOR PROVISIONS Provisions similar to this section were contained in section 6763 of this title, prior to the general amend- ment of this subchapter by Pub. L. 114–1. A prior section 6760, Pub. L. 106–102, title III, § 330, Nov. 12, 1999, 113 Stat. 1430, related to functions of the NAIC, prior to the general amendment of this sub- chapter by Pub. L. 114–1. § 6761. Coordination with Financial Industry Regulatory Authority The Association shall coordinate with the Fi- nancial Industry Regulatory Authority in order to ease any administrative burdens that fall on members of the Association that are subject to regulation by the Financial Industry Regulatory Authority, consistent with the requirements of this subchapter and the Federal securities laws. (Pub. L. 106–102, title III, § 331, as added Pub. L. 114–1, title II, § 202(a), Jan. 12, 2015, 129 Stat. 26.) Editorial Notes PRIOR PROVISIONS Provisions similar to this section were contained in section 6764(b) of this title, prior to the general amend- ment of this subchapter by Pub. L. 114–1. A prior section 6761, Pub. L. 106–102, title III, § 331, Nov. 12, 1999, 113 Stat. 1430, related to liability of the Association and the directors, officers, and employees of the Association, prior to the general amendment of this subchapter by Pub. L. 114–1. See section 6758 of this title. § 6762. Right of action (a) Right of action Any person aggrieved by a decision or action of the Association may, after reasonably ex- hausting available avenues for resolution within the Association, commence a civil action in an appropriate United States district court, and ob- tain all appropriate reli

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