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Explore downloads, links and reference information to assist you in preparing and filing UCC financing statements under Article 9. 

UCC Filing Requirements in the 9 States Where You Must File Electronically – The states that require electronic UCC filing have different rules that affect filing acceptance, including whether they accept collateral attachments, how non-US addresses are handled and the number of characters allowed for different fields. The info in this piece will help you to avoid rejection in these states.

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" - This COGENCY GLOBAL resource indicates the 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

The Proposed 2010 Amendments to UCC Article 9 - Article by attorney Norman M. Powell of Young Conaway Stargatt & Taylor, LLP.

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.

How to Maintain Perfection and Priority When Changes Occur After Closing - What type of filings do you need to 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, written by attorney Robert W. Ihne, addresses these and other issues that arise when changes occur after the closing. This article was updated in September of 2013. The original version appeared in The Secured Lender in May of 2004.


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 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.



Links contained in the COGENCY GLOBAL website to other websites or to information provided by other organizations are provided as a service and neither constitute nor imply endorsement or warranty. COGENCY GLOBAL 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.