N.Y. Comp. Codes R. & Regs. Tit. 19 §§ 143-1.2

Current through Register Vol. 46, No. 45, November 2, 2024

Section 143-1.2 - UCC document delivery; UCC document file date and time stamp; UCC search request delivery; UCC copy request delivery

(a) Delivery of written UCC documents. The central filing office will accept written UCC documents, subject to the provisions set forth in this subdivision.

(1) The central filing office will accept written UCC documents only during the regular business hours of the central filing office.

(2) The central filing office will accept written UCC documents only if communicated by one of the following methods:

(i) Personal delivery. The file time for a UCC document delivered by this method is when delivery of the UCC document is time stamped by the UCC unit of the central filing office (even though the UCC document may not yet have been accepted for filing and subsequently may be rejected).

(ii) Courier delivery. The file time for a UCC document delivered by this method is when delivery of the UCC document is time stamped by the UCC unit of the central filing office (even though the UCC document may not yet have been accepted for filing and subsequently may be rejected).

(iii) Postal service delivery. The file time for a UCC document delivered by this method is when delivery of the UCC document is presented to the UCC unit of the central filing office (even though the UCC document may not yet have been accepted for filing and subsequently may be rejected).

(iv) Facsimile delivery to the fax filing telephone number of the UCC unit of the central filing office. Notwithstanding the time of receipt by the UCC unit's fax machine, and notwithstanding any time stamp that may be generated by the UCC unit's fax machine or by the remitter's fax machine, the file time for a UCC document delivered by this method is the time the UCC document is first examined by the UCC unit for processing (even though the UCC document may not yet have been accepted for filing and may be subsequently rejected). The central filing office shall time stamp a UCC document delivered by this method with the time of such first examination.

(b) Delivery of electronic UCC documents. The central filing office will accept electronic UCC documents, subject to the provisions set forth in this subdivision.

(1) XML transmission. The central filing office will accept initial financing statements and amendments transmitted using the XML standard as described in Subpart 143-3 of this Part, subject to the provisions set forth in Subpart 143- 3 of this Part. The file date and time for an initial financing statement or amendment submitted by XML transmission will be determined in accordance with the provisions set forth in section 143-3.5 of this Part.

(2) Other electronic delivery methods. The central filing office may from time to time establish and make available for public use such electronic delivery method or methods (in addition to XML transmission) as it may deem appropriate. Upon making any such electronic delivery system available for public use, the central filing office shall prepare written instructions for the use of such electronic delivery method. The central filing office shall update such instructions when in the judgment of the central filing office such updating is appropriate. Such instructions (as up dated from time to time) shall:

(i) describe the use of such electronic delivery method;

(ii) identify the types of UCC documents that can be transmitted through such electronic delivery method;

(iii) identify any limitation on the number of characters that may be included in the fields of a UCC document transmitted through such electronic delivery method;

(iv) identify any limitation on the number of debtors or the number of secured parties that may be named in a UCC document delivered by such electronic delivery method;

(v) identify the methods that may be used to pay fees applicable to UCC documents submitted by such electronic delivery method;

(vi) identify the times during which UCC documents may be submitted by such electronic delivery method;

(vii) identify the manner in which the file date and time for a UCC document submitted by such electronic delivery method will be determined; and

(viii) include such other matters relating to such electronic delivery method as the central filing office may deem appropriate.

(3) For the purposes of this Part, facsimile shall not be considered to be an electronic delivery method, and a UCC document submitted to the central filing office by facsimile delivery shall not be considered to be an electronic UCC document.

(c) Delivery of written UCC search requests. The central filing office will accept written UCC search requests only if communicated to the UCC unit of the central filing office by personal delivery, courier delivery, or postal service delivery. The central filing office will not accept written UCC search requests communicated by facsimile delivery. The central filing office will not accept UCC search requests submitted by XML transmission or by any other electronic delivery method.

(d) Delivery of written UCC copy requests. The central filing office will accept written UCC copy requests only if communicated to the UCC unit of the central filing office by personal delivery, courier delivery, or postal service delivery. The central filing office will not accept UCC copy requests communicated by facsimile delivery. The central filing office will not accept UCC copy requests submitted by XML transmission or by any other electronic delivery method.

(e) Delivery to local-filing offices. Each local-filing office shall accept written UCC documents, shall accept UCC documents during the regular business hours of such local-filing office, and shall accept UCC documents communicated by personal delivery, courier delivery, or postal delivery. In addition, any local-filing office may, at its option, authorize communication of documents to such local-filing office in any additional medium, during any additional hours, or by any additional method or medium of communication.

N.Y. Comp. Codes R. & Regs. Tit. 19 §§ 143-1.2