U.S. General Accounting Office

Survey of State Regulators - Regulation of Sales of Pre-Need Funeral Plans

State Regulations on Sales of Pre-Need Funeral Plans

1.
Other than rules or regulations that generally apply to all businesses, including insurance companies, does your state have rules or regulations in place that specifically address sales of pre-need funeral plans?
(Check only one answer.)
1. Yes (Continue with question 2.)
2. No (Click here to go to question 18.)
3. No response (Click here to go to question 18.)

2.
Are all sales of pre-need funeral plans within your state subject to regulation by your state?
(Check only one answer.)
1. Yes (Click here to go to question 3.)
2. No (Continue with question 2a.)
3. No response (Click here to go to question 3.)

 
2a. What types of sales of pre-need funeral plans are exempt from regulation?

3.
What registration requirements, if any, does your state have regarding sellers (both companies and their sales persons) of pre-need funeral plans?
(Check only one answer.)
1. Companies who offer pre-need funeral plans must be registered, but not their sales persons
2. Both companies who offer pre-need funeral plans and their sales persons must be registered
3. Persons who sell pre-need funeral plans must be registered, but not the companies they represent
4. Neither companies who offer pre-need funeral plans nor their sales persons must be registered
5. No response

4.
Does your state maintain data on the number of sellers (both companies and their sales persons) of pre-need funeral plans that operate in your state?
(Check only one answer.)
1. Yes (Continue with question 5.)
2. No (Click here to go to question 7.)
3. No response (Click here to go to question 7.)

5.
Approximately how many sellers (both companies and their sales persons) of pre-need funeral plans currently operate in your state?
(Enter numbers. Please enter numbers only. Do not enter commas, letters, or words. If none, enter 0. If number is unknown, leave space blank.)
 
 
Number of companies currently operating in your state:  
 
Number of sales persons currently operating in your state:  
   

6.
Approximately how many of these sellers (both companies and their sales persons) of pre-need funeral plans are subject to regulation by your state?
(Enter numbers. Please enter numbers only. Do not enter commas, letters, or words. If none, enter 0. If number is unknown, leave space blank.)
 
 
Number of companies subject to regulation by your state:  
 
Number of sales persons subject to regulation by your state:  
   

7.
Have any legislative or regulatory changes been proposed or enacted in your state since January 1, 2000 that are directed at sales of pre-need funeral plans?
(Check only one answer.)
1. Yes (Continue with question 8.)
2. No (Click here to go to question 10.)
3. No response (Click here to go to question 10.)

8.
Please indicate what the legislative or regulatory changes involved.
(Check all that apply.)
1. Stricter registration or licensing requirements for sellers of pre-need funeral plans
2. Change in the state's regulatory organization
3. Enhanced consumer protections
4. Other - Please describe in question 8a. below:

 
8a. If you answered "Other" in question 8 above, please enter your description below.

9.
Please indicate how these proposals for legislative or regulatory changes came about.
(Check all that apply.)
1. Accounts of desecration of human remains or other mismanagement
2. Accounts of fraud or deceptive practices
3. Lobbying efforts of consumer groups
4. Lobbying efforts of the death care industry
5. Proposals from state regulatory agencies
6. Other - Please describe in question 9a. below:

 
9a. If you answered "Other" in question 9 above, please enter your description below.

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