This page contains downloads, links and reference information that will assist you in preparing and filing financing statements under UCC Revised Article 9. While many of the resources on this page are available to the general public, some of the materials provided are available only to registered clients. If you are a client and would like to register, click here.

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REVISED ARTICLE 9 NATIONAL FORMS

These forms are provided in fillable PDF (Adobe Acrobat) format. If you prefer some guidance in complying with different state statutes and rules or if you need to track your UCC filings, visit our UCC ProFile page to learn about our web-based UCC preparation, filing and monitoring system.

UCC1 initial financing statement

UCC1 Addendum - Always use the addendum form for fixture filings and when you want to indicate special debtor types (such as Trusts and Transmitting Utilities) or special transactions (Public Finance, Manufactured Home).

UCC1AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on a UCC1.

Co-op Addendum Form (NY) - Use this addendum when filing a co-op UCC. It makes your filing effective for 50 years.

UCC3 Amendment form

UCC3 Addendum

UCC3AP - Use this Additional Party form to list up to 3 additional debtors and up to 2 additional secured parties on an amendment filing.

UCC5 Correction Statement - DO NOT USE THIS FORM TO AMEND. See Revised 9-518 for clarification on the limited circumstances in which this form should be used.



FILING PREPARATION INFO AND TIPS
"Effective Life of Financing Statements Under RA9" - 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.
"Deadline Looms for UCC Article 9: Cooperative Unit Security Interests Impacted" - An article by attorney Michael J. Berey that discusses the impact of the transition end date on New York co-op filings. Reprinted with permission from: N.Y. Real Property Law Journal, Spring 2006, Vol. 34, No. 1, published by the New York State Bar Association, One Elk Street, Albany, New York 12207.
"The Effect of Non-Uniform State Enactments of Article 9 on the Effectiveness After June 30, 2006 of Financing Statements Filed Under Former Article 9 Before July 1, 2001" - March 14, 2006 - A memo by Steven Weise and Neil Cohen. The issues addressed in this memo affect many more financing statements than are affected by the issue relating to second continuation statements.
"Maintaining Perfection Beyond June 30, 2006 of Security Interests Created and Perfected By Filing Under Former Article 9" - December 2005 report of the Permanent Editorial Board for the Uniform Commercial Code regarding 9-705(c) interpretive issue. This issue affects filings continued in the six months prior to a state's RA9 effective date that otherwise would have lapsed in the six months following the effective date.
"Ongoing Searching and Filing Issues Under Article 9" - March 2005 - Article written by Norman M. Powell, a partner in the Delaware law firm Young Conaway Stargatt & Taylor, LLP.
"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.
"Article 9 Perfection Choice of Law Analysis Where Revised Article 9 Is Not in Effect in All States by July 1, 2001" - A report of the Permanent Editorial Board for the Uniform Commercial Code issued on June 13, 2001.
RA9 Effective and Cut-off Dates - NCR's chart of Revised Article 9 Effective Dates and Transition End Dates for all jurisdictions that 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 - List of states that don't require and those don't issue organizational ID numbers.
"In Lieu" Tips Sheet Part 1 - Includes sample "In Lieu" filing.
"In Lieu" Tips Sheet Part 2 - How to avoid common mistakes we've seen filers make when preparing "in lieu" financing statements.
Multiple Functions on UCC3s - List of central filing offices that allow multiple functions on one UCC3 form.
Samples of Non-Uniform Requirements for Central Filings Under RA9 - 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.
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.
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.

COURT CASES OF INTEREST
UCC Continuations and Legal Malpractice: Georgia Supreme Court Decision - Summary of a Georgia court case that found attorneys representing secured lenders have a duty to continue filed UCC financing statements before they lapse unless the client has been informed in a timely manner that the filings must be continued in five years to avoid lapse. The court indicated that failure to fulfill that duty constitutes malpractice. To download the full text of this decision, click here.
Revised Article 9 Court Cases of Interest - This memo provides a brief summary of Revised Article 9 court cases dealing with debtor names and search logic issues.

OTHER HELPFUL LINKS
Federal Deposit Insurance Corporation - Institution Directory- The FDIC is a government agency that was created to insure deposits and promote safe and sound banking practices. This link takes you to the page on the FDIC web site that will enable you to look up where the main office of a national bank is located. (Per OCC Interpretive Letter # 913, the place to file under Revised Article 9 against a national bank debtor is in the state where the bank's main office is located as designated in the bank's charter documents.)
OCC List of Active National Banks - This list also provides bank charter numbers needed as organizational ID numbers for UCC Financing Statements when the debtor is a national bank.
Office of Foreign Assets Control (U.S. Treasury) - OFAC administers and enforces economic and trade sanctions based on US foreign policy and national security goals. You can search the Specially Designated Nationals (SDN) List on this site.(Note: NCR can provide these searches for you.)




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