Jurisdictions Guidelines for Accepting a UCC Record Presented for Filing Chart

2010 Update

Miscellaneous ItemsPart V

Miscellaneous Items

Accept – Words used in the form fields should not be interpreted by the filing office. Filing office should index all

form fields exactly as given.

a. Use of words such as "same," "N/A," "not applicable," "none," or "see attached," see addendum," "see exhibit," or comparable phrases.

Miscellaneous Items

b. 1. Forms other than the National or Model Forms

Reject

Miscellaneous Items

b. 2. Forms that mimic the National or Model Forms

(fields are different sizes, etc.)

Accept

Miscellaneous Items

b. 3. IACA Model Forms

Financing Statement Accept and Index

Financing Statement Addendum Accept and Index

Amendment Accept and Index

Additional Party Addendum Accept and Index(UCC-1 and UCC-3)

Miscellaneous Items

Accept – Do not index information on attachment

c. Attached Pages. 1. Filer adds an attachment that is not the National Addendum form.

Miscellaneous Items

Accept – Do not index information on attachment

c. Attached Pages. 2. Filer adds an attachment that is not the National Addendum form, but that contains properly formatted information.

Miscellaneous Items

Accept

d. Bogus or Fraudulent Filings.1. Filer provides the same name in Items 1 and 3 of the initial financing statement (debtor and secured party are the same).

Miscellaneous Items

Accept – Set lapse date to be effective until terminated.

d. Bogus or Fraudulent Filings.2. Individual debtor is listed and Box 18 is checked indicating the debtor is a transmitting utility.

Miscellaneous Items

Accept

d. Bogus or Fraudulent Filings.3. Copies of personal documents, such as birth certificate, social security card, etc. are attached.

Miscellaneous Items

Accept

d. Bogus or Fraudulent Filings.4. Debtor listed is a public official.

Miscellaneous Items

Accept - Filing officer can only reject if a statutory rejection reason is present. The filing officer may choose to notify the debtor of a bogus

filing, but is not required to do so.

d. Bogus or Fraudulent Filings.5. The filing appears on its face to be bogus or fraudulent.

Miscellaneous Items

Use reasonable judgment to accommodate request.

e. Customer Service issues.Filing requests made in cover letter or post-it notes, such as "file first."

Miscellaneous Items

Accept - File the UCC record with the filing date and timethe UCC record was originally tendered for filing. (whichmeans backdate the filing)

File a filing officer statement record relating to the relevantinitial financing statement in the UCC InformationManagement System on the date that the corrective actionwas taken.

f. Refusal Errors & Errors by the Filing Office.1. Filer submits a UCC record that was wrongfully rejected.

Miscellaneous Items

Accept – File a filing officer statement record relating to therelevant initial financing statement in the UCC InformationManagement System on the date that the corrective actionwas taken .

f. Refusal Errors & Errors by the Filing Office.2. A filer points out an error that the filing office overtly made while entering the UCC record.

Miscellaneous Items

Jurisdictions that have validated info for 2010 Conf:

CO DE GA IL KS LA MA MI MNMT NC ND NH NJ NE NV OH OROK PA RI TX UT VA WA WI WY

Jurisdictions that have not provided input:

AZ DC FL HI SC VT

Information current as of May 7, 2010