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UCC Filing Preparation Info and Tips

On this page, National Corporate Research, Ltd. (NCR) offers downloads, links and reference information that will assist you in preparing and filing financing statements under UCC Article 9.

Making your job easier:

Helpful Resources and Links:

"Addressing the Challenges of UCC Filing and Searching in Washington, D.C." - 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.

"Effective Life of Financing Statements Under A9" secure - NCR's memo listing states that did not enact the model act provisions regarding the effective life of transmitting utility, public finance and manufactured home filings.

"How to Maintain Perfection and Priority When Changes Occur After Closing" - What type of filings do you need make when debtor's location changes or when a new debtor comes to own collateral as a result of a merger or asset sale? This article from The Secured Lender, written by attorney Robert W. Ihne of CIT Group Inc., addresses these and other issues that arise when changes occur after the closing.

Even more resources and links:

"Filings Against Trusts and Trustees Under Revised Article 9 - Thirteen Variations" - January 2002 - Article written by Norman M. Powell, a partner in the Delaware law firm Young Conaway Stargatt & Taylor, LLP. To access the article, click here and then click the link for "Filings" under the heading "Related Files" on the bottom right of the page.

RA9 Effective and Cut-off Dates - NCR's chart of Revised Article 9 Effective Dates and Transition End Dates for all jurisdictions that have enacted Revised Article 9.

Revised Article 9 Amendments Affecting 9-705(c)Transition End Date - NCR's memo outlining various states' amendments to the provision affecting the transition end date.

Organizational & Tax ID Requirements secure - List of states that don't require and those don't issue organizational ID numbers.

Multiple Functions on UCC3s secure - List of central filing offices that allow multiple functions on one UCC3 form.

Samples of Non-Uniform Requirements for Central Filings Under RA9 secure - This memo outlines some of the more unusual and often overlooked non-uniform provisions in central filing offices.

Non-Uniform UCC3 Requirements secure - List of central filing offices that require additional (to the model act) information on UCC3s.

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 secure - 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.

New York City's ACRIS System - Memo describing the New York City Register's cover sheet requirement for UCCs and real property filings. Includes sample of a filed cover sheet. January 2003

"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.

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Links contained in the NCR web site to other web sites or to information provided by other organizations are provided as a service and neither constitute nor imply endorsement or warranty. NCR does not provide legal advice or render legal services. The resources on this page are provided for informational purposes and should not be considered a substitute for professional legal advice.