IACA
(As of 6/11/13)
Jurisdictions Guidelines for Accepting a UCC Record Presented for Filing Chart: 2010 Amendments & the 2011 IACA Forms
The following assumptions apply:
1. The problem described is the only issue; all other information on the form is correct.
2. The procedure outlined is filing officer action only; it does not indicate legal correctness or perfection.
3. Where options are provided, the order of options does not indicate preference. The listing of options indicates that IACA’s STS Section members were unable to reach a consensus on one course of action.
4. Please be aware that the treatment of the filing submission may vary from the indicated Action/Deviation listed below when your filing is submitted to a local jurisdiction.
| |Action |Article 9 Section |Jurisdiction Deviations |Statutory, MARS or Other|
| | | | |Regulatory Authority to |
| | | | |Deviate |
|Initial Financing Statement | | | | |
|Contact Information | | | | |
|The filer fails to provide information in item A. |Accept |9-520(a) | | |
|The filer fails to provide information in item B. |Accept |9-520(a) |SC: Reject – system design | |
|The filer fails to provide information in item C. |Accept |9-520(a) | | |
|Debtor's Information | | | | |
|The filer does not check the box above 1a/1b information and provides an organization name |Accept and index all |9-520(a) | | |
|in item 1a or an individual name in item 1b on the Initial and leaves items 10a/10b on the |debtor names. | | | |
|Initial Addendum blank. | | | | |
|The filer does not check the box above 1a/1b information and provides an organization name |Reject |9-516(b)(5)(B) | | |
|in item 1a and an individual name in item 1b on the Initial and leaves items 10a/10b on the | | |OK: Accept & index all | |
|Initial Addendum blank. | | |debtor names. | |
| | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. | |
|The filer does not check the box above 1a/1b information and provides an organization name |Reject |9-516(b)(5)(B) |OK: Accept & index all | |
|in item 1a and an individual name in item 1b on the Initial and provides a name in item 10a | | |debtor names. | |
|and 10b on the Initial Addendum. | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. Accept| |
| | | |as to item 10a and item 10b| |
| | | |using item 10c as address | |
| | | |for both. | |
|The filer does not check the box above 1a/1b information and provides an organization name |Accept and index all |9-520(a) | | |
|in item 1a or an individual name in item 1b on the Initial and provides a name in item 10a |debtor names. | | | |
|or 10b on the Initial Addendum. | | | | |
|The filer does not check the box above 1a/1b information and provides an organization name |Reject |9-516(b)(5)(B) |OK: Accept & index all | |
|in item 1a or an individual name in item 1b on the Initial and provides a name in item 10a | | |debtor names. | |
|and 10b on the Initial Addendum. | | |TX: Accept as to item 10a | |
| | | |and item 10b using item 10c| |
| | | |as address for both. | |
|The filer checks the box above 1a/1b information and provides an organization name in item |Accept and index all |9-520(a) | | |
|1a or an individual name in item 1b on the Initial and leaves items 10a/10b on the Initial |debtor names. | | | |
|Addendum blank. | | | | |
|The filer checks the box above 1a/1b information and provides an organization name in item |Reject |9-516(b)(5)(B) | | |
|1a and an individual name in item 1b on the Initial and leaves items 10a/10b on the Initial | | |OK: Accept & index all | |
|Addendum blank. | | |debtor names. | |
| | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. | |
|The filer checks the box above 1a/1b information and provides an organization name in item |Reject |9-516(b)(5)(B) |. | |
|1a and an individual name in item 1b on the Initial and provides a name in item 10a and 10b | | |OK: Accept & index all | |
|on the Initial Addendum. | | |debtor names. | |
| | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. Accept| |
| | | |as to item 10a and item 10b| |
| | | |using item 10c as address | |
| | | |for both. | |
|The filer checks the box above 1a/1b information and provides an organization name in item |Accept and index all |9-520(a) | | |
|1a or an individual name in item 1b on the Initial and provides a name in item 10a or 10b on|debtor names. | | | |
|the Initial Addendum. | | | | |
|The filer checks the box above 1a/1b information and provides an organization name in item |Reject |9-516(b)(5)(B) |OK: Accept & index all | |
|1a or an individual name in item 1b on the Initial and provides a name in item 10a and 10b | | |debtor names. | |
|on the Initial Addendum. | | |TX: Accept as to item 10a | |
| | | |and item 10b using item 10c| |
| | | |as address for both. | |
|The filer provides an organization name in item 1a and an individual name in item 1b. Item |Reject |9-516(b)(5)(B) | | |
|2a and 2b are blank and item 1c and item 2c are completed. | | |OK: Accept & index only | |
| | | |debtor names in 1a & 1b | |
| | | |with complete info in 1c. | |
| | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. Notify| |
| | | |customer of illegible | |
| | | |debtor for Item 2. | |
|The filer provides an organization name in item 1a. Item 1c is completed. Debtor name is |Accept as debtor 1, |9-520(d) |DE: Reject. Must have |DE: (9-516(b)(5)(A)) |
|provided in item 2a. No information is provided in item 2c. |Reject for debtor 2. | |address info. |IL: AR 180.15 b |
| | |9-516 (b)(5)(A) |IL: Reject entire UCC. |ND: Admin rules |
| | | |ND: Reject entire UCC. |PA: 9-516(b)(5) |
| | | |PA: Reject the entire UCC. | |
| | | |SC: Reject entire UCC | |
| | | | | |
|The filer provides mailing address information in the city field and either the state or |Accept for an |9-516 (b)(5)(A) | | |
|country field of item 1c. |international address. | | | |
| | | | | |
| |Reject for a U.S. | | | |
| |address. | | | |
|The filer fails to provide a zip code for a U.S. address. |Reject |9-520(a) | | |
|The filer fails to provide a zip code for an international address. |Accept |9-520(a) |NM: Reject | |
| | | |SC: Reject | |
|The filer provides a debtor name in 1a or 1b that wraps to multiple lines in the name |Accept |9-520(a) |SC: 100 character | |
|field.* | | |limitation | |
|* Acceptance implies that the font and character size are legible. | | | | |
|The filer provides part of a long debtor name in item 1a and continues the name in another |Accept and index 1a as |9-520(a) |DE: Accept & index 1a, but |DE: (9-516(b)(5)(A)) |
|debtor name field (item 2a or on the UCC1 Addendum in item 10a). |first debtor name and | |Reject if 2c and 11c are |IL: Unless complete |
| |index 2a and/or 10a as | |blank. |addresses are provided. |
| |separate additional | |IL: Reject unless complete | |
| |debtor(s) | |addresses given. |UT: Want to talk to |
| | | |MS: Indexes only as 2nd |about this at IACA. |
| | | |debtor if there is an | |
| | | |address in 2a or on UCC 1 | |
| | | |ad. | |
| | | |OH: Reject as to add'l | |
| | | |debtor unless complete | |
| | | |address is also provided. | |
| | | |TX: Index complete debtor | |
| | | |as single name if intent is| |
| | | |clear. | |
| | | |UT: Reject – should be one | |
| | | |debtor, not two | |
|The filer provides part of a long debtor name in item 1a and continues the name in the |Accept and index the |9-520(a) |IL: Reject. If continued on|IL: If continued in 10, |
|collateral or miscellaneous field (item 4 or on the UCC1 Addendum in item 10 or item 12). |debtor name as only what| |10 a complete address is |a complete address is |
| |is presented in item 1a.| |necessary. |necessary. |
| | | |TX: Index complete debtor | |
| | | |as single name if intent is| |
| | | |clear. | |
|Secured Party's Information | | | | |
|The filer provides an organization name in item 3a and an individual name in item 3b. One |Accept as to item 3a and| |Reject: |MT: 9-516(a) |
|address is provided in item 3c. |item 3b using item 3c as| |DE, ID, IL |indecipherable. The |
| |address for both | |MI (systems limitations), |form says "or" |
| | | |MO, MN, MS, NC, ND, NM, OH,|PA: 9-516(c)(1) |
| | |9-516 (b)(4) |PA, SC, UT and WA. |UT: Form says "or" |
| | | |MT: Reject Filer failed to| |
| | | |indicate that SP was an | |
| | | |ind. or org. | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
|The filer provides mailing address information in the city field and either the state or |Reject |9-516(b)(5)(A) | | |
|country field in 3c. | | | | |
|The filer fails to provide a zip code for a U.S. address. |Reject |9-516(b)(4) | | |
|The filer fails to provide a zip code for an international address. |Accept |9-520(a) |NM: Reject | |
| | | |SC: Reject | |
|Collateral Information | | | | |
|The filer fails to provide information in item 4 or fails to provide an attachment. |Accept |9-520(a) |MO: Reject | |
| | | |MT: Reject |ND: NDCC 41-09-87(2c)(4)|
| | | |ND: Reject | |
| | | |OK: Reject | |
|The filer provides information in item 4 that appears to require filing officer action (for |Accept and take no |9-520(a) |TX: Index complete debtor | |
|example: Additional Debtor or indicate Debtor is a Transmitting Utility). |action as to the | |as single name if intent is| |
| |additional information. | |clear. | |
| | | |UT: Accept, index as "none | |
| | | |listed. | |
|Collateral Status Indication | | | | |
|The filer fails to check either the "Collateral is Held in Trust" or "Being administered by |Accept |9-520(a) | | |
|Decedent's Personal Representative" boxes. | | | | |
|The filer checks one or both boxes in item 5. |Accept |9-520(a) | | |
|Transaction Type Indication | | | | |
|The filer fails to check any boxes in item 6. |Accept - and set lapse |9-520(a) | | |
| |date at 5 years |9-515(a) | | |
|The filer checks the box for Public-Finance Transaction. |Accept - 30 year lapse |9-520(a) |MI: Accept and give 5 year | |
| |date. |9-515(b) |lapse date. MI UCC office | |
| | | |does not process PFTs. | |
| | | |WA: Accept – 5 year lapse | |
| | | |date | |
|The filer checks the box for Manufactured-Home Transaction. |Accept - 30 year lapse |9-515(b) |OR: Accept & set 5-year |OR: Has no Manufactured |
| |date. | |lapse date. |Home designation. |
| | | |WA: Accept – 5 year lapse | |
| | | |date | |
|The filer checks the box indicating the Debtor Name provided in box 1a (Organization) is a |Accept - and set the |9-520(a) |MI: Reject if filing |MI: MCL 440-9520(5)(e) |
|Transmitting Utility. |appropriate lapse date. |9-515(f) |appears to be fraudulent. |MN: MNR 8280-0150(D) |
| | | |MN: Do not lapse TU. Don't|PA: 9-516(c)(1) |
| | | |know if all Sec Parties |TX: Texas Government |
| | | |terminated. |Code 405.022 |
| | | |OH: Accept and activate | |
| | | |forever; TUs never lapse. | |
| | | |OK: Reject. TUs are filed | |
| | | |at the SOS. | |
| | | |PA: Reject if filing | |
| | | |appears to be fraudulent. | |
| | | |TX: May be sent to Attorney| |
| | | |General for review. | |
| | | |UT: Reject unless proven to| |
| | | |be legitimate T.U. | |
|The filer checks the box indicating the Debtor Name provided in box 1b (Individual) is a |Accept - and set lapse |9-520(a) |ID: Reject |ID: 28-9-516A |
|Transmitting Utility. |date for five years. |9-515(f) |MI: Reject if filing |MI: MCL 440-9520(5)(e) |
| | | |appears to be fraudulent. |TX: Texas Government |
| | | |MS: Reject under bogus |Code 405.022 |
| | | |filer statute. | |
| | | |MO: Active until terminated| |
| | | |NM: Reject and request | |
| | | |proof of T.U. | |
| | | |OK: Reject. TUs are filed | |
| | | |at the SOS. | |
| | | |SC: Reject paper; but | |
| | | |Accept on-line with no | |
| | | |lapse date. | |
| | | |TX: May be sent to Attorney| |
| | | |General for review. | |
| | | |UT: Reject | |
|The filer checks multiple boxes in item 6. |Accept - and set longest|9-520(a) |MI: Reject if filing |MI: MCL 440-9520(5)(e) |
| |lapse period. | |appears to be fraudulent. |PA: 9-516(c)(1) |
| | | |MS: Reject for multiple |OR: ORS 79-0516(3)(a) |
| | | |action. | |
| | | |MO: Active until terminated| |
| | | |MT: Reject. Only one filing| |
| | | |type permitted | |
| | | |NM: Reject and ask for | |
| | | |clarification. | |
| | | |OK: Reject | |
| | | |OR: Reject | |
| | | |PA: Reject | |
| | | |SC: Reject | |
| | | |TX: Reject - unable to | |
| | | |determine filing type. | |
|The filer checks the box for Agricultural lien. |Accept |9-520(a) |OR: Accept & file as | |
| | | |financing statement. | |
|The filer checks the box for Non-UCC Filing. |Accept |9-520(a) |OR: Reject |OR: ORS 79-0516(2)(h) – |
| | | | |not within the scope. |
|Alternate Designation | | | | |
|The filer fails to check any of the boxes in item 7. |Accept |9-520(a) | | |
|The filer checks one or multiple boxes in item 7. |Accept |9-520(a) |SC: Reject | |
|Optional Filer Reference Data | | | | |
|The filer provides information in item 8. |Accept |9-520(a) |UT: Accept, but redact if | |
| | | |appears to be SS# | |
|The filer fails to provide information in item 8. |Accept |9-520(a) | | |
|The filer provides information in item 8 that appears to require filing officer action. |Accept and take no |9-520(a) |TX: Index complete debtor | |
| |action. | |as single name if intent is| |
| | | |clear. | |
|Initial Financing Statement Addendum | | | | |
|Debtor's Name Information as it Appears on the Financing Statement | | | | |
|The filer fails to check the box in item 9 (above 9a) and does not provide information in 9a|Accept |9-520(a) | | |
|or 9b. | | | | |
|The filer checks the box in item 9 (above 9a) and does not provide information in 9a or 9b. |Accept |9-520(a) | | |
|The filer checks the box in item 9 (above 9a) and provides information in 9a or 9b. |Accept |9-520(a) | | |
|The filer fails to provide information in item 9. |Accept |9-520(a) | | |
|The filer provides information in item 9 that appears to require filing officer action (for |Accept and take no |9-520(a) |TX: Index complete debtor | |
|example: Additional Debtor or indicate Debtor is a Transmitting Utility). |action as to the | |as single name if intent is| |
| |additional information. | |clear. | |
|Debtor's Information | | | | |
|The filer provides an organization name in item 10a and an individual name in item 10b. |Reject |9-516(b)(5)(B) |OK: Accept & index all | |
| | | |debtor names. | |
| | | |TX: Accept as to item 10a | |
| | | |and item 10b using item 10c| |
| | | |as address for both. | |
|The filer provides an organization name in item 1a and an individual name in item 1b. Item |Reject |9-516(b)(5)(B) |OK: Accept & index all | |
|10a and 10b are blank and item 1c and item 10c are completed. | | |debtor names. | |
| | | |TX: Accept as to item 1a | |
| | | |and item 1b using item 1c | |
| | | |as address for both. Notify| |
| | | |customer of illegible | |
| | | |debtor for item 10. | |
|The filer provides an organization name in item 1a. Item 1c is completed. Debtor name is |Accept as debtor 1, |9-520(d) |DE: Reject. Must have |DE: (9-516(b)(5)(A)) |
|provided in item 10a. No information is provided in item 10c. |Reject for debtor 2. | |address info. |IL: Need a complete |
| | | |IL: Reject entire UCC. |address for all debtors |
| | | |ND: Reject entire UCC. |listed. |
| | | |PA: Reject entire UCC. |ND: Must have address, |
| | | |SC: Reject entire UCC. |city, state & zip code. |
| | | | |PA: 9-516(c)(1) |
|The filer provides mailing address information in the city field and either the state or |Reject |9-516(b)(5)(A) | | |
|country field of item 10c. | | | | |
|The filer fails to provide a zip code for a U.S. address. |Reject |9-516(a) | | |
|The filer fails to provide a zip code for an international address. |Accept |9-520(a) |NM: Reject | |
| | | |SC: Reject | |
|The filer provides a debtor name in box 10a or 10b that wraps to multiple lines in the name |Accept |9-520(a) |OR: Accept & index, 1a as |IL: As long as it is 1a |
|field.* | | |debtor; index 10a as |or 1b and not both. |
|* Acceptance implies that the font and character size are legible. | | |debtor; & index 11a as SP | |
| | | |SC: 100 character | |
| | | |limitation | |
|The filer provides part of a long Debtor name in item 1a and continues the name in another |Accept and index 1a as |9-520(a) | |DE: (9-516(b)(5)(A)) |
|debtor name field (item 2a or on the UCC1 Addendum in item 10a). |first debtor name and | |DE: Accept and index 1a; | |
| |index 2a or 10a as | |but Reject if 10c & 11c are| |
| |second debtor name. | |blank | |
| | | |MN: Would index 1a & 10a as| |
| | | |separate debtors; 11a as a | |
| | | |Sec Party | |
| | | |OH: Reject as to add'l | |
| | | |debtor unless complete | |
| | | |address is also provided. | |
| | | |TX: Index complete debtor | |
| | | |as single name if intent is| |
| | | |clear. | |
|The filer provides part of a long Debtor name in item 1a and continues the name in the |Accept and index the |9-520(a) |TX: Index complete debtor | |
|collateral or miscellaneous field (item 4 or on the UCC1Ad in item 10 or item 12). |debtor name as only what| |as single name if intent is| |
| |is presented in item 1a.| |clear. | |
|Additional Secured Party's Name/Assignor Secured Party's Name Information | | | | |
|The filer provides an organization name in item 11a and an individual name in item 11b. One |Accept as to item 11a |9-516(b)(4) |DE, ID, IL, | |
|address is provided in item 11c. |and item 11b using item | |MI (systems limitations), | |
| |11c as address for both | |MS, MO, MN, NC, ND, OH, UT | |
| | | |and WA | |
| | | |MT: Reject Filer failed to | |
| | | |indicate that SP was ind. | |
| | | |or org. | |
|The filer provides information in the city field and either the state or country field in |Reject |9-516(b)(5)(A) |MS: Reject admin rule to | |
|11c. | | |collect county information.| |
|The filer fails to provide a zip code for a U.S. address. |Reject |9-516(b)(4) |MS: Reject admin rule to | |
| | | |collect county information.| |
|The filer fails to provide a zip code for an international address. |Accept |9-520(a) |NM: Reject | |
| | | |SC: Reject | |
|Additional Space/Collateral Information | | | | |
|The filer fails to provide information in item 12 or fails to provide an attachment. |Accept |9-520(a) | | |
|The filer provides information in item 12 that appears to require filing officer action (for|Accept and take no |9-520(a) | | |
|example: Additional Debtor or indicate Debtor is a Transmitting Utility). |action as to the | | | |
| |additional information. | | | |
|Sections 13, 14, 15 and 16. Real Estate Recording Information | | | | |
|13a. The filer checks the box in item 13. |Accept and take no |9-520(a) |ND: Reject at state level; | |
| |action | |accept at local level. | |
| | | |OK: Reject | |
|13b. The filer fails to check a box in item 14. |Accept |9-520(a) |ND: Reject at local level | |
| | | |OK: Reject | |
|14a. The filer checks one or more boxes in item 14. |Accept |9-520(a) |ND: Reject at state level; | |
| | | |accept at local level | |
| | | |OK: Reject | |
| | | |SC: Reject | |
|15a. The filer fails to provide the name and address of record owner in item 15. |Accept |9-520(a) |ND: Reject at state level; | |
| | | |accept at local level | |
| | | |OK: Reject | |
|16a. The filer fails to provide the description of Real Estate in item 16. |Accept |9-520(a) |OK: Reject | |
|Section 17. Miscellaneous | | | | |
|17a. The filer provides information in item 17. |Accept |9-520(a) | | |
|17b. The filer fails to provide information in item 17. |Accept |9-520(a) | | |
|17c. The filer provides information in item 17 that appears to require filing office action.|Accept and take no |9-520(a) |TX: Index complete debtor | |
| |action as to the | |as single name if intent is| |
| |additional information. | |clear. | |
|Amendment Financing Statement | | | | |
|Section 1. Initial Financing Statement File Number. | | | | |
|1a. The filer provides the initial financing statement number but fails to provide any other|Accept |9-520(a) |IL: Reject |IL: AR (180.15b) |
|information on the form. | | |MS: Reject |Incomplete Add. |
| | | |ND: Reject |ND: System will not |
| | | |NM: Reject |allow this action; |
| | | |PA: Reject |cannot generate file |
| | | |SC: Reject |number without action. |
| | | |UT: Reject – unclear or |PA: 9-516(c)(1) |
| | | |incomplete | |
|1b. The filer provides the initial financing statement number and provides other information|Accept |9-520(a) |IL: Accept only if a box in| |
|on an attachment(s). | | |8 is checked |PA: 9-516(c)(1) |
| | | |MS: Reject | |
| | | |ND: Accept & index if | |
| | | |intent is clear. | |
| | | |NM: Reject | |
| | | |PA: Reject | |
|1c. The filer provided a number assigned to an amendment (UCC3) rather than an initial |Reject |9-516(b)(3)(B)(i) |OK: Accept | |
|financing statement number. | | |UT: N/A-Utah uses UCC1 | |
| | | |number for all subsequent | |
| | | |filings. | |
|Section 2. Termination | | | | |
|2a. A termination is received after other termination(s) filed. |Accept |9-520(a) | | |
|Section 3. Assignment | | | | |
|3a. The filer checks the assignment item 3 and provides no other information. |Reject |9-516(b)(6) | | |
|3b. The filer provides mailing address information in the city field and either the state or|Reject |9-516(b)(5)(A) | | |
|country field in 7c. | | | | |
|3c. The filer fails to provide a zip code for a U.S. address. |Reject |9-516(b)(4) | | |
|3d. The filer fails to provide a zip code for an international address. |Accept |9-520(a) |NM: Reject | |
| | | |SC: Reject | |
|3e. The filer fails to provide assignor's name in item 9. |Accept |9-520(a) | | |
|3f. The assignor name in item 9 has filed a previous assignment. |Accept |9-520(a) | | |
|3g. The filer checks the box in item 3, completes item 7, and checks the “assign collateral”|Accept |9-520(a) | | |
|box in item 8 (with or without description in item 8). | | | | |
|Section 4. Continuation | | |CO: Colorado’s online | |
| | | |system will allow a | |
| | | |continuation to be filed | |
| | | |during the appropriate | |
| | | |window which closes once a | |
| | | |continuation has been filed| |
| | | |or the time frame for | |
| | | |filing has passed. | |
|4a. Multiple continuations received within the six-month continuation window. |Accept—only extend lapse|9-520(a) |NM: Reject | |
| |date on first | |SC: Reject | |
| |continuation | | | |
|4b. Continuation statement received within the six-month continuation window but after |Accept and extend lapse |9-520(a) | | |
|termination and prior to lapse date. |date | | | |
|4c. The filer submits a continuation on the last day within the continuation window, and the|Reject |9-516(b)(3)(B)(ii) |MI: Accepts – if last day |MI: R440.403 (2) |
|filing office is closed (due to inclement weather, holiday, weekend, etc.); therefore the | |9-515(d) |is a weekend or legal |MN: MNR 8280.0020 645.15|
|filing is processed on the next business day. | | |holiday. |PA: Accept if the office|
| | | |MN: Accept if last day is |was closed due to |
| | | |weekend or holiday. Reject|weekend or holiday. |
| | | |if the office is closed due| |
| | | |to inclement weather. | |
| | | |OK: Accept | |
| | | |PA: Accept | |
| | | |TX: Accept | |
|4d. The filer who filed an initial financing statement on February 29th, files a |Accept—the relevant |9-516(b)(3)(B)(ii) |ND: Reject | |
|continuation on March 1st five years later. |anniversary date for a |9-515(d) | | |
| |February 29th filing is | | | |
| |March 1st. | | | |
|Section 5. Party Information Change | | | | |
|Assumption: Name "change" and Name "add" as indicated in item 5 and item 7a or item 7b | | |OH: Accepts assumption | |
|means name not previously provided, i.e., new name. This assumption applies to both Secured| | | | |
|Party and Debtor. | | | | |
|5a. The filer fails to indicate if the Party Information change affects the Debtor or |Reject |9-516(c)(1) |OR: Accept & take no | |
|Secured Party by not checking either the “Debtor” or “Secured Party” box. | | |action. | |
|5b. The filer checks both the “Debtor” and “Secured Party” boxes in item 5. |Reject |9-516(c)(1) |OR: Accept & take no | |
| | | |action. | |
|5c. The amendment affects the Debtor. The filer checks "Change" in item 5 and provides |Reject |9-516(b)(5)(A) |DE: Accept. Name change |DE: 9-520(a) |
|information in item 7a and omits items 7c. | | |does not affect address. | |
| | | |OK: Accept | |
|5d. The amendment affects the Debtor. The filer checks “Change” in item 5 and provides |Reject |9-516(b)(5)(A) | | |
|information in item 7a or item 7b, and presents information in the city field and either the| | | | |
|state or country field of item 7c. | | | | |
|5e. The filer checks "Change" and only provides information in item 6 (current record |Reject |9-516(b)(4), (5) |DE: Accept & take no | |
|information). | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5f. The filer checks "Delete" and only provides information in item 7. |Option 1 – Reject | |Option 1 Reject |IL: 9-516 (c)(1) |
| | | |IL, MI, MS, MO, ND, NM, PA |MI: MCL 440-9516(3)(a) |
| | |9-520(d) |and TX |ND: Need information of |
| |Option 2 – | | |debtor or sec party |
| |Accept | |Option 2 Accept |PA: 9-516(c)(1) |
| | | |DE: Accept & take no | |
| | |9-520(a) |action. | |
| | | |ID: Accept & file as misc. | |
| | | |amendment | |
| | | |OK: Accept | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5g. The filer checks "Add" and only provides information in item 6 (current record |Reject |9-516(b)(4) (5) |DE: Accept & take no | |
|information). | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5h, The filer does not check "Change," "Delete," or "Add" in item 5. The filer has only |Reject |9-520(a) |DE: Accept & take no | |
|provided information in item 6 (current record information). | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5i. The filer does not check “Change,” “Delete,” or “Add” but does check “Secured Party” or |Reject |9-520(a) |DE: Accept & index. | |
|“Debtor” in item 5. The filer has completed information in item 7. | | |MN: Accept & take no | |
| | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5j. The filer checks "Change" or "Add". No other information is provided. |Reject |9-516(b)(4), (5) |DE: Accept & take no | |
| | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5k. The filer fails to check either “Debtor” or “Secured Party” but an action is indicated |Reject |9-516(c)(1) |DE: Accept & take no | |
|in item 5 and required information is provided in item 7. | | |action. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5l. The filer checks “Debtor” and “Change” in item 5, only provides debtor name in item 6 |Reject |9-516(b)(5)(A) |DE: Accept & take no | |
|and information in item 7c. | | |action. | |
| | | |OK: Accept. | |
| | | |OR: Accept & take no | |
| | | |action. | |
|5m. The filer checks “Secured Party” and “Change” in item 5, only provides a secured party |Reject |9-516(b)(4) |DE: Accept & add name with | |
|name in item 6a or item 6b, and a secured party name in item 7a or item 7b. | | |existing address. | |
| | | |OK: Accept | |
| | | |UT: Accept for name change | |
| | | |– no other action | |
|5n. The filer checks “Secured Party” and “Add” in item 5, only provides a secured party name|Reject |9-516(b)(4) | | |
|in item 6a or item 6b and a secured party name in item 7a or item 7b. | | | | |
|5o. The filer checks “Debtor” or “Secured Party” and “Change” in item 5, only provides a |Reject |9-516(b)(4), (5) |DE: Accept and index new | |
|name in item 6a or item 6b and information in item 7c. | | |address info as indicated. | |
| | | |ND: Accept & index new | |
| | | |address indicated | |
| | | |OK: Accept | |
| | | |OR: Accept & index new | |
| | | |address. | |
|5p. The filer checks "Debtor" and "Change" in item 5, provides debtor name in item 6a or 6b |Accept and index (Filer |9-520(a) | | |
|and same debtor name in item 7a or 7b, plus completes information in item 7c. |is amending mailing | | | |
| |address information.) | | | |
|5q. The filer checks "Debtor" and "delete" in item 5 and provides a name in item 6. |Accept and take no |9-520(a) |ND: Accept & index | |
| |action | |OR: Accept & index | |
| | | |PA: Accept & take no action| |
|Section 8 Amendment (Collateral Change) | | | | |
|8a. The filer provides information in item 8 and fails to indicate requested action |Accept and take no |9-520(a) |IL: Reject |IL: 9-516 (c)(1) |
|"Deleted, Added, Restated, or Assigned." |action | |MS: Reject |ND: Need indication of |
| | | |MO: Reject |type of amendment |
| | | |MT: Reject Need the type |PA: 9-516(c)(1) |
| | | |of amendment. | |
| | | |ND: Reject | |
| | | |NM: Reject | |
| | | |PA: Reject | |
| | | |SC: Reject | |
| | | |UT: Return for more info | |
|8b. The filer checks all boxes in item 8. |Accept |9-520(a) |IL: Reject |IL: 9-516 (c)(1) |
| | | |MS: Reject |ND: Indecipherable |
| | | |MO: Reject |PA: 9-516(c)(1) |
| | | |ND: Reject | |
| | | |OR: Accept & take no | |
| | | |action. | |
| | | |PA: Reject | |
| | | |SC: Reject | |
|8c, The filer checks a box or boxes in item 8 and fails to provide a description of |Accept |9-520(a) |MO: Reject |ND: Need description |
|collateral. | | |MT: Reject. If add, delete | |
| | | |or restate is checked. | |
| | | |ND: Reject | |
| | | |OK: Reject | |
| | | |OR: Accept & index for one | |
| | | |box; if more than one box, | |
| | | |accept & take no action.. | |
|Section 9. Name of Secured Party of Record Authorizing this Amendment | | | | |
|9a. The filer does not provide a Secured Party or Debtor name in item 9. |Accept |9-520(a) |ND: Reject |ND: If sec party does |
| | | |SC: Reject |not appear on document |
|9b. The filer provides a name for the Secured Party in item 9 that does not appear on the |Accept |9-520(a) |ND: Reject | |
|financing statement or other amendments. | | |SC: Reject | |
|Section 10. Optional Filer Reference Data | | | | |
|10a. The filer provides information in item 10. |Accept |9-520(a) | | |
|10b. The filer fails to provide information in item 10. |Accept |9-520(a) | | |
|10c. The filer provides information in item 10 that appears to require filing officer |Accept and take no |9-520(a) |TX: Index complete debtor | |
|action. |action as to the | |as single name if intent is| |
| |additional information. | |clear. | |
|AMENDMENT ADDENDUM: | | | | |
|Section 11. Initial Financing Statement File No. | | | | |
|11a. The filer has not provided an Initial Financing Statement number in item 11. |Accept |9-520(a) |OK: Reject | |
| | | |SC: Reject | |
|11b. The filer provides an Initial Financing Statement Number that does not match the |Accept |9-520(a) |SC: Reject | |
|Initial Financing Statement Number on line 1a of the Initial. | | | | |
|11c. The filer provides information in item 14 or 18 that appears to require filing office |Accept and take no |9-520(a) |ND: Accept & index if | |
|action. |action as to the | |intent is clear. | |
| |additional information. | |TX: Index complete debtor | |
| | | |as single name if intent is| |
| | | |clear. | |
|Section 12. Name of Party Authorizing this Amendment | | | | |
|12a. The filer does not provide the Name of Party Authorizing the amendment in item 12. |Accept |9-520(a) |SC: Reject | |
|12b. The filer provides a name of the Party Authorizing in item 12 that does not match the |Accept |9-520(a) |SC: Reject | |
|name provided in line 9a/9b of the Initial. | | | | |
|Section 13. Name of Debtor | | | | |
|13a. The filer does not provide the Debtor Name in item 13. |Accept |9-520(a) | | |
|13b. The filer provides a Debtor Name in item 13 that does not match the name provided in |Accept |9-520(a) | | |
|items 6, 7 or 9 of the Initial. | | | | |
|14. Additional Space for Item 8 (Collateral) | | | | |
|14a. The filer fails to provide information in item 14 or fails to provide an attachment. |Accept |9-520(a) | | |
|14b. The filer provides information in item 14 that appears to require filing officer action|Accept and take no |9-520(a) | | |
|(for example: Additional Debtor or indicate Debtor is a Transmitting Utility). |action as to the | | | |
| |additional information. | | | |
|Sections 15, 16 and 17. Real Estate Recording Information | | | | |
|15a. The filer checks more than one box in item 15. |Accept |9-520(a) |SC: Reject | |
|16a. The filer fails to provide the name of the record owner in box 16. |Accept |9-520(a) | | |
|17a. The filer fails to provide the description of the Real Estate in box 17. |Accept |9-520(a) |OK: Reject | |
|18. Miscellaneous | | | | |
|18a. The filer provides information in item 18. |Accept |9-520(a) |OK: Reject | |
|18b. The filer fails to provide information in item 18. |Accept |9-520(a) |OK: Reject | |
|18c. The filer provides information in item 18 that appears to require filing office action.|Accept and take no |9-520(a) |TX: Index complete debtor | |
| |action. | |as single name if intent is| |
| | | |clear. | |
|AMENDMENT COMBINATIONS | | |CO: Colorado’s online | |
| | | |system will allow amendment| |
| | | |combinations. | |
|Does your Jurisdiction accept Amendment combinations? | | | | |
|If Yes, please answer questions a - m below. If No, proceed to the next section, | | |Yes: |No: |
|Miscellaneous. | | |DE |MI, |
| | | |NC |OH: No, on-line |
| | | |OH: Yes, in house. |SC |
| | | |OK | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
| | | | | |
|a. The filer checks item 2 (termination) and item 4 (continuation). |Accept - index item 2 |9-520(a) |DE: Accept & index item 4 &|IL: 9-516 (c)(1) |
| |and extend lapse date | |extend lapse date. Mgmt |PA: 9-516(c)(1) |
| | | |System will not accept |UT: Haven't ever seen |
| | | |multiple actions |this in Utah. |
| | | |ID; Index both. | |
| | | |IL: Reject | |
| | | |MT: Reject. Admin Rule | |
| | | |only one amendment perform.| |
| | | |NM: Reject | |
| | | |OK: Reject | |
| | | |PA: Reject | |
| | | |UT: Reject if no fee paid. | |
| | | |If fee paid, do | |
| | | |continuation | |
|b. The filer checks item 2 (termination) and item 3 (assignment). |Accept - index both item|9-520(a) |DE: Accept & index item 3. |IL: 9-516 (c)(1) |
| |2 and item 3 | |Mgmt System will not accept|PA: 9-516(c)(1) |
| | | |multiple actions |UT: Haven't ever seen |
| | | |IL: Reject |this in Utah. |
| | | |MT: Reject Admin Rule | |
| | | |only one amendment perform.| |
| | | |OK: Reject | |
| | | |PA: Reject | |
| | | |UT: Reject if no fee paid. | |
| | | |If fee paid, do | |
| | | |continuation | |
|c. The filer checks item 2 (termination) and item 5 (party information). |Accept - index item 2 |9-520(a) |DE: Accept & index item 5 |IL: 9-516 (c)(1) |
| |and item 5 | |if 7 is completed. Mgmt |PA: 9-516(c)(1) |
| | | |System will not accept | |
| | | |multiple actions | |
| | | |IL: Reject | |
| | | |MT: Reject. Admin Rule | |
| | | |only one amendment perform.| |
| | | |OK: Reject | |
| | | |PA: Reject | |
|d. The filer checks item 2 (termination) and item 8 (collateral change). |Accept - index both item|9-520(a) |DE: Accept & index item 8. |IL: 9-516 (c)(1) |
| |2 and item 8 | |Mgmt System will not accept|PA: 9-516(c)(1) |
| | | |multiple actions | |
| | | |IL: Reject | |
| | | |MT: Reject. Admin Rule | |
| | | |only one amendment perform.| |
| | | |OK: Reject | |
| | | |PA: Reject | |
|e. The filer checks item 4 (continuation) and item 3 (assignment). |Accept - extend lapse |9-520(a) |DE: Accept & index item 4. |IL: 9-516 (c)(1) |
| |date and index item 3 | |Mgmt System will not accept|PA: 9-516(c)(1) |
| | | |multiple actions | |
| | | |IL: Reject | |
| | | |MT: Reject Admin Rule | |
| | | |only one amendment perform.| |
| | | |PA: Reject | |
|f. The filer checks item 4 (continuation) and item 5 (party information). |Accept - extend lapse |9-520(a) |DE: Accept & index item 4. | |
| |date and index item 5 | |Mgmt System will not accept|IL: 9-516 (c)(1) |
| | | |multiple actions |PA: 9-516(c)(1) |
| | | |IL: Reject | |
| | | |MT: Reject. Admin Rule | |
| | | |only one amendment perform.| |
| | | |PA: Reject | |
|g. The filer checks item 4 (continuation) and item 8 (collateral change). |Accept - extend lapse |9-520(a) |DE: Accept & index item 4. |IL: 9-516 (c)(1) |
| |date and index item 8 | |Mgmt System will not accept|PA: 9-516(c)(1) |
| | | |multiple actions | |
| | | |IL: Reject | |
| | | |MT: Reject Admin Rule | |
| | | |only one amendment perform.| |
| | | |PA: Reject | |
|h. The filer checks item 3 (assignment). The filer checks box in item 5 (party |Reject |9-516(c)(1) with respect to| | |
|information-Debtor) other than "Delete." Items 6 & 7 are left blank. | |9-516(b)(4) and (6) | | |
|i. The filer checks item 3 (assignment). The filer checks box in item 5 (party |Reject |9-516(c)(1) with respect to| | |
|information-Debtor) other than "Delete." Items 6 & 7 are completed. | |9-516(b)(4) and (6) | | |
|j. The filer checks item 3 (assignment). The filer checks box in item 5 (party |Reject |9-516(c)(1) with respect to| | |
|information-Secured Party) other than delete. Items 6 & 7 left blank. | |9-516(b)(4) and (6) | | |
|k. The filer checks item 3 (assignment). The filer checks box in item 5 (party |Reject |9-516(c)(1) with respect to| | |
|information-Secured Party) other than delete. Items 6 & 7 completed. | |9-516(b)(4) and (6) | | |
|l. The filer checks item 3 (assignment). The filer checks "Delete" in item 5 (party |Accept - index both item|9-520(a) |DE: Reject |IL: 9-516 (c)(1) |
|information-Debtor). |3 and item 5 | |IL: Reject |PA: 9-516(c)(1) |
| | | |MT: Reject. Admin Rule | |
| | | |only one amendment perform.| |
| | | |ND: If item 7 is completed,| |
| | | |accept & index for | |
| | | |assignment only | |
| | | |OK: Reject | |
| | | |OR: Accept & index assign. | |
| | | |Only if #7 is complete. If| |
| | | |not, accept as an | |
| | | |amendment.. | |
| | | |PA: Reject | |
|m. The filer checks item 3 (assignment). The filer checks "Delete" in item 5 (party |Accept - index both item|9-520(a) |DE: Reject |IL: 9-516 (c)(1) |
|information-Secured Party). |3 and item 5 | |IL: Reject |PA: 9-516(c)(1) |
| | | |ND: If item 7 is completed,| |
| | | |accept & index for | |
| | | |assignment only | |
| | | |OK: Reject | |
| | | |PA: Reject | |
| | | |UT: Reject for no clear | |
| | | |action to take | |
|n. The filer checks item 3 (assignment) and item 8 (collateral change). |Accept - index both item|9-520(a) |DE: Accept & index item 3 |IL: 9-516 (c)(1) |
| |3 and item 8 | |if 7 is completed. Mgmt | |
| | | |System will not accept | |
| | | |multiple actions | |
| | | |IL: Reject | |
|o. The filer checks item 5 (party information) and item 8 (collateral change). |Accept - index both item|9-520(a) |DE: Accept & index item 5 |IL: 9-516 (c)(1) |
| |5 and item 8 | |if 7 is completed. Mgmt |PA: 9-516(c)(1) |
| | | |System will not accept | |
| | | |multiple actions | |
| | | |IL: Reject | |
| | | |PA: Reject | |
|MISCELLANEOUS ITEMS | | | | |
|Use of words such as "same," "N/A," "not applicable," "none," or "see attached," "see |Accept - Words used in |9-520(a) |TX: Index complete debtor | |
|addendum," "see exhibit;" or comparable phrases. |the form fields should | |as single name if intent is| |
| |not be interpreted by | |clear. | |
| |the filing office. | | | |
| |Filing Office should | | | |
| |index all form fields | | | |
| |exactly as given. | | | |
|Forms | | | | |
|Forms other than national or model forms. | | |DE: Accept | |
| | | |CO: Colorado rejects all | |
| |Reject |9-521 |paper forms as we have | |
| | | |mandated online filing | |
| | | |only. | |
| | | |DE: Accept | |
| | | |ND: Also accepts own forms.| |
| | | |NM: Accept with double fee,| |
| | | |provided all info is | |
| | | |correct. | |
| | | |OR: Accept Oregon form. | |
|Forms that mimic national or model forms (fields are different sizes, etc.): |Accept |9-521 |MI: Reject |MI: MCL 440-9521 |
|d. Current IACA Model forms: | |9-521 | | |
|UCC-1 Initial Financing Statement |Accept and Index | | | |
|UCC-1 Initial Financing Statement Addendum |Accept and Index | | | |
|UCC-3 Amendment |Accept and Index | | | |
|UCC-3 Amendment Addendum |Accept and Index | | | |
|Additional Party Addendum (UCC-1 and UCC-3) | | | | |
| |Accept and Index | | | |
|e. Attached Pages | |9-521 |DE: Accept and index if | |
|Filer adds an attachment that is not the national addendum form. | | |intent is clear. | |
|Filer adds an attachment that is not the national addendum form, but that contains properly | | |MI: Accept and index if | |
|formatted information. |Accept - do not index | |intent is clear | |
| |information on | |ND: Index for both | |
| |attachment. | |TX: Index complete debtor | |
| | | |as single name if intent is| |
| |Accept - do not index | |clear. | |
| |information on the | | | |
| |attachment. | | | |
|f. Bogus or fraudulent filings | | |DE: Reject. Mgmt System |ID: 28-9-516A |
|Filer provides the same name in items 1 and 3 of IFS (i.e., Debtor and Secured Party are the| | |will not accept same name |IL: 810 ILCS 5/9-501.1 |
|same). | | |for both parties. |MI: MCL 440-9520 (5) |
| |Accept |9-520(a) |ID: Reject |NC: 25-9-516(b)(8) |
| | | |IL: Reject |OR: ORS 79-0516(2)(h) |
| | | |MS: Reject for bogus filer |PA: 9-516(c)(1) |
| | | |statute. |TX: Texas Government |
| | | |MI: Reject |Code 405.022 |
| | | |MT: Reject 9-420 | |
| | | |NC: Reject | |
| | | |ND: Reject per Admin Rules | |
| | | |NM: Reject | |
| | | |OR: Reject | |
| | | |PA: Reject | |
| | | |SC: Reject | |
| | | |TX: Send to Attorney | |
| | | |General for review. | |
|g. Copies of personal documents, such as birth certificates, social security number, etc. | | |DE: Reject – refer to |IL: Send to General |
|are attached. |Accept |9-520(a) |Attorney General for |Counsel for review. |
| | | |review. |MI: MCL 440-9520 (5) |
| | | |MI: Reject |OH: ORC 111-241 |
| | | |MS: Reject Admin Rule |NC: 25-9-516(b)(8) |
| | | |PA: Reject |OR: ORS 56.037(1) |
| | | |NC: Reject if bogus; redact|PA: 9-516(c)(1) |
| | | |otherwise. |TX: Texas Government |
| | | |OH: Accept and redact |Code 405.022 |
| | | |anything resembling EIN or |UT: Part of our new law |
| | | |SSN. | |
| | | |OR: Reject | |
| | | |SC: Reject | |
| | | |TX: Send to Attorney | |
| | | |General for review. | |
| | | |UT: Reject | |
| | | |WA: Reject if documents | |
| | | |appear to be fraudulent. | |
|h. Debtor listed is a public official. | | |DE: Reject – refer to |IL: Send to General |
| |Accept |9-520(a) |Attorney General for |Counsel for review. |
| | | |review. |MI: MCL 440-9520 (5) |
| | | |MI: Reject |NC: 25-9-516(b)(8) |
| | | |MT: Reject 9-420 if |PA: 9-516(c)(1) |
| | | |determined is improper. |OH: ORC 111-24 |
| | | |NC: Reject |OR: ORS 205.455(2) |
| | | |OH: Reject |TX: Texas Government |
| | | |OK: Reject |Code 405.022 |
| | | |OR: Reject |WA: (RCW 60.70.030(2)) |
| | | |PA: Reject filing appears | |
| | | |to be fraudulent. | |
| | | |SC: Reject | |
| | | |TX: Send to Attorney | |
| | | |General for review. | |
| | | |WA: May reject if | |
| | | |recognized on the record. | |
|i. The filing appears on its face to be bogus or fraudulent. | | |DE: Reject – refer to |ID: Title 45, Ch 17 |
| |Accept |9-520(a) |Attorney General for |IL: 810 ILCS 5/9-501.1 |
| | | |review. |MI: MCL 440-9520 (5) |
| |* Filing officer can | |ID: Possibly |NC: 25-9-516(b)(8) |
| |only reject if a | |Reject-depends on content |PA: 9-516(c)(1) |
| |statutory rejection | |IL: Reject |OR: 79.0516(2)(h) |
| |reason is present. The | |MI: Reject |TX: Texas Government |
| |filing officer may | |MS: Reject |Code 405.022 |
| |choose to notify the | |MT: Reject 9-420 if |WA: (RCW 60.70.030(1)) |
| |debtor of a bogus | |determined is improper. | |
| |filing, but is not | |NC: Reject | |
| |required to do so. | |OR: Reject | |
| | | |PA: Reject | |
| | | |SC: Reject | |
| | | |TX: Send to Attorney | |
| | | |General for review.. | |
| | | |UT: We have some provisions| |
| | | |in our new law to reject | |
| | | |WA: Reject | |
|j. Customer Service Issues | | |MO: Accepts but does not |PA: Cover letters or |
|Filing requests made in cover letters or post-it notes, such as "file first." |Use reasonable judgment |9-502(a) |guarantee that it will be |post-it notes are not |
| |to accommodate request | |filed first. |seen by data entry or |
| | | | |review staff. |
|k. Refusal errors and errors by the Filing Office. |Accept - File the UCC | | | |
| |record with the |9-520(a), MARS 208 | | |
| |filing date and time | | | |
| |the UCC record was | | | |
| |originally tendered for | | | |
| |filing. (which means | | | |
| |backdate the filing) | | | |
|l. The filer points out an error that the filing office overtly made while entering the UCC | | |UT: We give them 30 days to| |
|record. |Accept - File a filing |9-520(a), MARS 405 |bring to our attention in | |
| |officer statement record| |order to maintain original | |
| |relating to the relevant| |filing date. | |
| |initial financing | | | |
| |statement in the UCC | | | |
| |Information Management | | | |
| |System on the date that | | | |
| |the corrective action | | | |
| |was taken. | | | |
|m. The filer provides a number (i.e. S.S. #, bank account #) that exceeds 9 digits. |Accept |9-520(a) |MS: Reject Admin Rule |OH: OH-ORC 111-241 |
| | | |MO: Reject | |
| | | |OH: Accept and redact | |
| | | |anything resembling EIN or | |
| | | |SSN. | |
| | | |TX: Redacts sensitive info.| |
| | | |SC: Reject | |
| | | |UT: We will redact if we | |
| | | |find it. | |
Note: Colorado deployed a new online filing system on May 29, 2012. They no longer accept documents submitted on paper, so most of these situations no longer apply. Online filers will get an error message if they omit part of the address with a name listed, or vice versa.
Jurisdictions (20) that have validated information for 2013 Conference: CO, DE, ID, IL, LA, MI, MO, MN, MT, NC, ND, NM, OH, OK, OR, PA, RI, SC, TX, UT, WA.
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