How to File

Surplus lines brokers must file with SLTX a copy of each surplus lines insurance contract, as set forth in Section 981.213 of the Texas Insurance Code.

Brokers may file either by mail or electronically through the SLTX website. All mailed policies will be audited for compliance upon receipt.

 

1. Mail

Follow these steps:

  1. Review the SLTX Policy Checklist
  2. Complete the Policy List Form
  3. Attach the policy documents (declaration page, forms, and/or endorsements)
  4. Mail to SLTX:

Surplus Lines Stamping Office of Texas
Attn: Operations
805 Las Cimas Pkwy, Suite 150
Austin, TX 78746-5493

Processing

  1. Policy documents are checked to ensure that all items are in compliance. Items not in compliance or in question may be returned to the broker.
  2. A confirmation report is sent to the filing broker/agency, which lists all items processed and the reported premium.
    1. Any errors are explained and the marked items are returned if more information is needed.
    2. Specific errors will be detailed for broker corrections. Policy items may be returned if additional information is required. Please note that returned items are not considered filed with SLTX and failure to resolve the error in a timely manner may result in the item’s inclusion on the SLTX Late Filers Report.
2. Online Entry

Follow these steps to file through our online system:

  1. Complete the System Registration Form
  2. Complete testing in the Online Filing System Test Environment
  3. Log-in to the Online Filing System Live Environment
  4. Enter required fields from the policy documents
  5. Use the Contact Us form to reach Tech Support for further instruction
3. Policy Upload

This feature will be available with the new system release whereby the policy can be directly uploaded into the portal, and relevant information will be extracted and reviewed for accuracy.

4. Partially Automated File Transfer

Follow these steps to file through our online system:

  1. Review the Programmer’s Technical Reference Document, or
  2. Utilize the File Transfer Form (coming soon!)
  3. Use the Contact Us form to reach Tech Support for further instruction
5. Fully Automated File Transfer

Follow these steps to file through our online system:

  1. Review the Programmer’s Technical Reference Document, or
  2. Download the Middleware Software Package (coming soon!)
  3. Use the Contact Us form to reach Tech Support for further instruction

Each insurance contract (policy, binder, cover note, renewal certificate) must include the following:

Declarations page 28 TAC §15.23(c)(1)
List of all participating insurers on the policy and their percentage of participation 28 TAC §15.23(c)(2)
TIC §981.101(4)(c)(5)
All coverage parts and schedules 28 TAC §15.23(c)(3)
Extended coverage exclusions 28 TAC §15.23(c)(4)
Zip code of Texas risk location TIC §981.101(c)(1)
Texas Guaranty Fund Non-Participation Notice showing appropriate tax rate TIC §981.101(b)
Texas Complaint Notice 28 TAC §1.601

Additional forms that may be required:

Non-Texas/Exempt Premium Allocation Form
Locations outside of Texas with allocable premium or locations outside the U.S.

Exempt Commercial Purchaser (ECP) form
Insured is an Exempt Commercial Purchaser