1. (a) General requirements.

   1. (1) The forms that are specified in §§7.209-7.213 of this title (relating to Form A, Form B, Form C, Form D, and Form E) are intended to be guides in the preparation of the statements, notices, and applications required by the Insurance Code, Article 21.49-1. They are to provide notice of the information required and the location in which it will be expected to be found. In preparing any statement, notice, or application, the text of the form need not be repeated so long as there is clear identity of the matter to which the answer or material applies. Unless expressly provided otherwise, if any item is inapplicable or the answer thereto is in the negative, an appropriate statement to that effect shall be made. The forms specified in §§7.209-7.213 of this title (relating to Form A, Form B, Form C, Form D, and Form E) are also referred to in this subchapter as Forms A-E. Form A is also referred to as the acquisition statement, Form B as the registration statement, Form C as a disclaimer, Form D as an extraordinary dividend, and Form E as an exemption statement. For use in accordance with §7.209(d) and (f) of this title (relating to Form A) and §7.210(e) of this title (relating to Form B), the Texas Department of Insurance adopts by reference the biographical affidavit form published by and available from the Texas Department of Insurance. Copies of this form may be obtained from Financial Monitoring, Mail Code 303-1A, Texas Department of Insurance, P.O. Box 149099, 333 Guadalupe, Austin, Texas 78714-9099.
   2. (2) Two complete originally signed copies (unless additional copies are requested by the commissioner) of each statement, notice, or application, including exhibits and all other papers and documents filed as a part thereof, in connection with any acquisition statement filed under §7.209 of this title (relating to Form A), and one complete originally signed copy of every other statement, notice, or application, including exhibits and all other papers and documents filed as a part thereof, shall be filed with the commissioner by personal delivery or by mail addressed to: Financial Monitoring, Mail Code 303-1A, Texas Department of Insurance, P.O. Box 149099, 333 Guadalupe, Austin, Texas 78714-9099. Each statement, notice, or application shall be subject to the appropriate filing fee provided for in §7.1301 of this title (relating to Regulatory Fees). The appropriate filing fee shall be forwarded to Financial Monitoring of the Texas Department of Insurance under separate cover along with a copy of the letter transmitting the statement, notice, or application.
   3. (3) Statements, notices, and applications should be prepared on paper 8 1/2 inches by 11 inches or 8 1/2 inches by 14 inches in size and preferably bound at the top or top lefthand corner. All copies of any statement, notice, application, exhibit, or financial statement shall be clear, easily readable, and suitable for photocopying. Debits in credit categories and credits in debit categories shall be designated so as to be clearly distinguishable as such on photocopies. Statements, notices, and applications shall be in the English language and monetary values shall be stated in United States currency. If any exhibit or other paper or document filed with a statement, notice, or application is in a foreign language, it shall be accompanied by a translation into the English language and any monetary value shown in a foreign currency shall be converted into United States currency with the rate of exchange used disclosed in the submission.
   4. (4) Every statement, notice, or application shall state on the face page thereof the names and addresses of all persons on whose behalf the same is made.

2. (b) Incorporation by reference, summaries, and omissions.

   1. (1) Information required by any item of any statement, notice, or application may be incorporated by reference in answer or partial answer to another item. Information contained in any instrument or document filed with the board or commissioner within five years and currently remaining on file may be incorporated by reference. Such reference shall clearly identify the material and indicate it is incorporated by reference.
   2. (2) The right to incorporate by reference does not apply to §7.209 and §7.213 of this title (relating to Form A and Form E) or to a completely restated up-to-date registration statement filed in accordance with §7.203(g) of this title (relating to Registration of Insurers) and §7.210 of this title (relating to Form B).
   3. (3) Where an item requires a summary or outline of the provisions of any document, only a brief statement shall be made as to the most important provisions of the document. In addition to such statement, the summary or outline may incorporate by reference particular parts of any exhibit or document for which reference is allowed by these sections. The particular page and paragraph of the exhibit or document to which reference is made must be specified. If two or more documents required to be attached as exhibits are substantially identical in all material respects, a copy of only one of such documents need be filed. A schedule shall be attached identifying the details in which such other document differs from the filed exhibit.
   4. (4) By use of a reference, the person filing shall be deemed to have verified the accuracy of the information referred to as though it was an original statement, unless the person filing identifies such information as being not verified by the person filing.
3. (c) Additional information and exhibits. In addition to the information expressly required to be included in the forms set out in these sections there shall be added such further material information, if any, as may be necessary to make the information contained therein not misleading. The person filing may also file such exhibits as desired in addition to those expressly required by the statement. Such exhibits shall be so marked as to indicate clearly the subject matters to which they refer.
4. (d) Amendment. Any amendment to a statement, notice, or application shall include on the top of the cover page the phrase "Amendment No." to and shall indicate the date of amendment and not the date of the original filing.

5. (e) Information unknown or unavailable. Information required need be given only insofar as it is known or reasonably available to the person filing the statement. If any required information is unknown and not reasonably available to the person filing, either because the obtaining thereof would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person not affiliated with the person filing, the information may be omitted, subject to the following conditions.

   1. (1) The person filing shall give such information on the subject as he possesses or can acquire without unreasonable effort or expense, together with the sources thereof.
   2. (2) The person filing shall include a statement either demonstrating that unreasonable effort or expense would be involved or indicating the absence of any affiliation with the person within whose knowledge the information rests and stating the result of a request made to such person for the information.

Source Note:The provisions of this §7.201 adopted to be effective January 1, 1976; amended to be effective November 30, 1984, 9 TexReg 5926; amended to be effective April 29, 1988, 13 TexReg 1761; amended to be effective April 13, 1992, 17 TexReg 2273; amended to be effective December 24, 1993, 18 TexReg 9310; amended to be effective July 14, 1994, 19 TexReg 5098; amended to be effective May 15, 1996, 21 TexReg 3798.