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Reporting Questions & Answers

Answers to Common Questions

Contact: Geraldine Thomas

(334) 240-4420


Below are some recent questions we have received regarding upcoming reports. As questions are received we will respond and post the questions with the responses here, so please check back.


Q1) I have already filed my Quarterly Report or Semi-Annual Report that was due February 14, 2016, do I have to resubmit on the revised form?

A1) If you have already submitted your report and the following are TRUE, you do not have to resubmit the report on a revised form:

  1. You are a Certificate Holder without any Registered Branches;

  2. You do not have preneed contracts with more than one trustee or more than one insurer; and

  3. You do not fund contracts under more than one surety bond or more than one letter of credit 


If you are a Certificate Holder with a branch, then you must refile separate reports for the Certificate Holder and each Branch.


If you have preneed contracts funded through multiple insurers, multiple trustees, multiple Letters of Credit, and/or multiple surety bonds,  then you must refile using the revised form.


Q2) I have filed for and received a financial statement exemption in 2015, and have been reporting quarterly, may I continue to do so?

A2) You may voluntarily submit a quarterly for the 4thQuarter, using our revised form. If you meet the requirements in A1 above, and have already submitted the old form, then we will accept it as well


Q3) I have trust statements or insurance reports for a different period, is that acceptable?

A3) You must submit statements that at least cover the period of the report (July 1, 2015 – December 31, 2015). If you submitted a quarterly in October with insurance and trust statements covering the period, July 1, 2015 – September 30, 2015, then you would only need to submit the statements for October 1, 2015 – December 31, 2015. Many of the insurers and trustees plan to electronically submit the statements directly to the Department on behalf of their clients. More information will be available regarding this process closer to April 1, 2016.


Q4) The Annual Endowment Care Report says Property Sales Logs are only required upon request, do we have to submit our Property Sales Log?

A4) If the Department did not contact you regarding problems with your Property Sales Log in 2015, or if we did contact you and you corrected and resubmitted your log and we found it acceptable, then you do not need to submit a Property Sales Log with your report in 2016. If there have been numerous communications regarding problems with your Property Sales Log and you have failed to submit one that adhered to our posted guidelines, then you will be required to submit your current Property Sales Log back to May 1, 2002, with your 2016 Annual Endowment Care Report.

Q5) If the Certificate Holder is a Holding Company (aka Parent Company) Only (No Preneed Sales) and/or has never sold a preneed contract and does not engage in preneed sales, do I still need to file a Semi-Annual Report for the Certificate Holder?

A5) Yes. You must complete the relevant sections of the report (company information, all of page 2, including the authorized signature). Include a separate statement attached or write directly on the report to explain you are a Holding Company and/or that you have no outstanding preneed contracts as of 12-31-2015.  If you have any Registered Branches, then you would file a semi-annual for each branch using the same instructions if there is no preneed. 

Q6) If the Certificate Holder or Branch Registrant has a secondary location operating under the same name, but it does not hold a separate Certificate of Authority or Branch Registration, how should the preneed from that location be reported?

A6) Since it does not hold a separate Certificate of Authority or Branch Registration, then it is not considered separate for reporting purposes. All preneed contract information from the secondary location should be reported with the primary location. We ask that you include a note with the report that it includes a secondary location, as well as the name and address of the secondary location. The information may be written on a separate sheet of paper and attached to the report.