New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter D - Uniform Commercial Code › Part 143 - Standard Forms And Procedures › Subpart 143-4 - Search Requests › Section 143-4.1 - General requirements

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
					 central filing office maintains a searchable index for all records of UCC
					 documents. The index provides for the retrieval of a record by the name of the
					 debtor and by the file number of the initial financing statement to which the
					 record relates, and associates with one another each initial financing
					 statement and each filed UCC document relating to the initial financing
					 statement.
(b) The searchable index
					 maintained by the central filing office consists of an index of names entered
					 prior to July 1, 2001 (the pre-July 1, 2001 index) and an index of names
					 entered on or after July 1, 2001 (the post-July 1, 2001 index). The following
					 rules were followed when the names were entered in the pre-July 1, 2001 index:
(1) Debtors were not classified as
					 organizations or individuals. The pre-July 1, 2001 index is a single index that
					 includes all debtors (individual and organization).
(2) Debtor names were entered into the
					 pre-July 1, 2001 index exactly as the names appeared in the filed
					 document.
(3) In the case of
					 debtors that were (or appeared to be) individuals, no distinction was made
					 between prefixes (if any), first names, middle names or initials (if any), last
					 names, or suffixes (if any). Each name component was entered in the pre-July 1,
					 2001 index in the order specified in the filed document (e.g., if the document
					 specified the debtor name as "John C. Smith", the name was entered in the
					 pre-July 1, 2001 index as "JOHN C. SMITH", and if the document specified the
					 debtor name as "Smith, John C.," the name was entered in the pre-July 1, 2001
					 index as "SMITH JOHN C.").
(4) The
					 central filing office also maintains an alternative name index (the alternative
					 name index) for certain filings made prior to July 1, 2001. In some cases, one
					 or more variations of the debtor name as specified in a document filed prior to
					 July 1, 2001 may have been entered in the alternative name index. For example,
					 if a document filed prior to July 1, 2001 specified the debtor name as "John
					 and Mary Smith", the name would have been entered in the pre-July 1, 2001 index
					 as "JOHN AND MARY SMITH" and, in some cases, the name may also have been
					 entered in the alternative name index as "JOHN SMITH" and "MARY SMITH", and if
					 a document filed prior to July 1, 2001 specified the debtor name as " John
					 Smith, d/b/a John's Garage", the name would have been entered in the pre-July
					 1, 2001 index as "JOHN SMITH D/B/A JOHN'S GARAGE" and, in some cases, the name
					 may also have been entered in the alternative name index as "JOHN SMITH" and
					 "JOHN'S GARAGE". Note, however, in some cases (including but not limited to
					 some cases similar to the examples set forth in the preceding sentence), no
					 entry in the alternative name index was made.