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 143-1 - General Provisions › Section 143-1.3 - Approved forms

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Pursuant to
					 section 9-521 of the UCC, the Department of State hereby promulgates the
					 following forms:
(1) Financing Statement:
UCC Financing Statement (Form UCC1) (Rev.
								  5/22/02)
(2) Financing Statement Addendum:
UCC Financing Statement Addendum (Form UCC1Ad)
								  (Rev. 5/22/02)
(3) Financing Statement Additional Party:
UCC Financing Statement Additional Party (Form
								  UCC1AP) (Rev. 5/22/02)
(4) Amendment:
UCC Financing Statement Amendment (Form UCC3) (Rev.
								  5/22/02)
(5) Amendment Addendum:
National UCC Financing Statement Amendment Addendum
								  (Form UCC3Ad) (Rev. 7/29/98)
(6) Amendment Additional Party:
UCC Financing Statement Amendment Additional Party
								  (Form UCC3AP) (Rev. 5/22/02)
(7) Cooperative Addendum:
New York UCC Financing Statement Cooperative
								  Addendum (Form UCC1CAd) (Rev. 6/14/01)
(8) Correction Statement:
National Correction Statement (Form UCC5) (Rev.
								  5/01/01)
(9) Information Request:
National Information Request (Form UCC11) (Rev.
								  5/09/01)
(b) The filing office copy of each form
					 mentioned in subdivision (a) of this section is set forth in Appendix 3 of this
					 Title.
(c) Each form promulgated
					 under subdivision (a) of this section and each form deemed by the filing
					 office, in its sole discretion, to be substantially similar to a form
					 promulgated under subdivision (a) of this section shall be considered to be an
					 approved form.
(d) In the event of
					 any conflict between any instruction on any approved form and any provision in
					 this Part or any provision in the UCC, the provision in this Part or the
					 provision in the UCC, as the case may be, shall prevail.
(e) A single UCC3 form promulgated under
					 paragraph (a)(4) of this section, with any appropriate addendum/addenda, can be
					 filed for the purpose of accomplishing any action contemplated by such form, or
					 any combination of two or more of such actions. However, any UCC3 form intended
					 to accomplish two or more actions (hereinafter referred to as a combination
					 filing) shall be subject to the following conditions and provisions:
(1) All actions intended to be accomplished
					 by a combination filing must relate to the same initial financing
					 statement.
(2) The actions to be
					 accomplished by a combination filing cannot include a termination
					 (
i.e.,
a single UCC3 form cannot be filed for the purpose of
					 accomplishing both [i] a termination and [ii] any other action[s]). If a single
					 UCC3 form submitted for filing indicates that it is intended to accomplish both
					 a termination and any other action(s), the filing office may reject such UCC3
					 form.
(3) If the actions to be
					 accomplished by a combination filing include a continuation, the combination
					 filing must be presented for filing within the six-month period prescribed by
					 UCC section 9-515(d). If a combination filing that includes a continuation is
					 submitted for filing outside such six-month period, the filing office may
					 reject such combination filing.
(4)
					 A combination filing cannot be submitted to the central filing office by XML
					 transmission.
(5) Without regard to
					 the number of actions intended to be accomplished by the combination filing,
					 the fee for filing the combination filing shall be the same as the fee for
					 filing a single written UCC document, as determined in accordance with section
					 143-5.1(a)(1) of
					 this Part; provided, however, that with respect to a combination filing filed
					 in the filing office in any county located in the City of New York or in the
					 filing office in the County of Nassau, if the actions intended to be
					 accomplished by such combination filing include a continuation, then in
					 addition to the fee determined in accordance with section
					 143-5.1(a)(1) of
					 this Part, the filing office in such county shall also collect the additional
					 fee(s) determined in accordance with section
					 143-5.1(a)(4) of
					 this Part.
(6) The filer shall be
					 solely responsible for determining the proper manner to complete the UCC3 form
					 (and any addendum/addenda annexed thereto) in order to accomplish all desired
					 actions. In no event shall a filing office be responsible for any failure of a
					 combination filing to accomplish any or all of the desired actions.