UCC Article 9 Filing and Searching Info
On this page, National Corporate Research, Ltd. (NCR) offers downloads, links and reference information that will assist you in preparing and filing UCC financing statements under Article 9. Note that the 2010 Amendments to Article 9 are effective in all states, the District of Columbia and in Puerto Rico.
Making your job easier:
Helpful Resources and Links:
State Enactments of 2010 Article 9 Amendments - NCR’s detailed chart showing key information about each state's enactment of the 2010 amendments, including significant non-uniformities and links to enacted and pending state bills.
Organizational & Tax ID Requirements - List of jurisdictions that require tax ID or organizational ID numbers.
Samples of Non-Uniform Requirements for Central Filings Under Article 9 - This memo outlines some of the more unusual and often overlooked non-uniform provisions in central filing offices
Non-Uniform UCC3 Requirements - List of central filing offices that require additional (to the model act) information on UCC3s.
Multiple Functions on UCC3s- List of central filing offices that allow multiple functions on one UCC3 form.
"Effective Life of Financing Statements Under Article 9" - NCR's memo listing states that have not enacted the model act provisions regarding the effective life of financing statements, including transmitting utility, public finance and manufactured home filings.
Article 9 National Forms
Official Text of the Article 9 2010 Amendments with Comments (April 27, 2011) - See Section 9-521 for new versions of the national forms.
The Proposed 2010 Amendments to UCC Article 9 - Article by attorney Norman M. Powell of Young Conaway Stargatt & Taylor, LLP.
NCCUSL Summary of the Article 9 Amendments - The National Conference of Commissioners on Uniform State Laws (NCCUSL) provides a concise summary of the Article 9 amendments on their website.
Filings Against Trusts and Trustees: Filings Against Trusts and Trustees Under The Proposed 2010 Revisions to Current Article 9 - Thirteen Variations – - Article by attorney Norman M. Powell, a partner in the Delaware law firm Young Conaway Stargatt & Taylor, LLP. To access the previous (pre-Article 9 Amendments) version of this article, "Filings Against Trusts and Trustees Under Revised Article 9 - Thirteen Variations" - January 2002, click here and then click the link for "Filings" under the heading "Related Files" on the bottom right of the page.
Even more resources and links:
"10 Key Intellectual Property Issues for M&A Deals" - Article written by Anderson L. "Trey" Baldy of Holland & Knight LLP. This article discusses the key issues that should be addressed in M&A pre-transaction IP due diligence, as well as IP terms and conditions in purchase agreements.
"Addressing the Challenges of UCC Filing and Searching in Washington, D.C." - Updated version of an article authored by Clare Oliva of National Corporate Research, published in the Spring 2009 issue of the American Bar Association's Business Section newsletter. The article discusses the pitfalls of UCC filing and searching in Washington, D.C. and how to avoid them.
"Purchase Money Security Interests" - An article by attorney W. David Arnold of Robison, Curphey & O'Connell that provides a good overview of Article 9's requirements for a purchase money security interest (PMSI). The author discusses how suppliers of goods can mitigate the risks of selling to customers on credit by availing themselves of the protections offered by these provisions.
Foreign (non-U.S.) Debtors: Where to File - Clarifies why the place to file for non-U.S. debtors might not be Washington, D.C.
Where to File When Debtor is a National Bank - Interpretive letter from the Office of the Comptroller of the Currency (OCC) clarifying debtor's location for the purposes of 9-307(f) when the debtor is a national bank.
"Searching for Federal Tax Liens; The Typical Search for UCC Financing Statements May Not Be Good Enough" - Article written by Dennis H. Long of Indiana University School of Law that discusses often overlooked aspects of searching for Federal Tax Liens.