N.Y. Comp. Codes R. & Regs. Tit. 19 §§ 143-4.3

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

Section 143-4.3 - Rules applied to search requests presented to the central filing office

(a) With respect to search requests presented to the central filing office:

(1) search results are produced by applying standardized search logic to the name presented by the person requesting the search; and

(2) human judgment does not play a role in determining the results of the search.

The central filing office applies the rules set forth in this section when conducting searches.

(b) The search request presented to the central filing office will be processed as follows:

(1) First, the name in the search request will be modified in accordance with the rules set forth in subdivision (c) of this section, and the pre-July 1, 2001 index (including the alternative name index) will be searched in the manner described in subdivision (c) of this section.

(2) Next, the name specified in the search request will be modified in accordance with the rules set forth in subdivision (d) of this section, and the post-July 1, 2001 index for the category (individual or organization) specified in the search request, will be searched in the manner described in subdivision (d) of this section.

(c) The rules set forth in this subdivision apply to names stored in the pre-July 1, 2001 index and to searches by the central filing office for names stored in the pre-July 1, 2001 index.

(1) There is no limit to the number of matches that may be returned in response to the search criteria.

(2) No distinction is made between upper and lower case letters.

(3) Punctuation marks and accent marks are treated as follows:

(i) All periods, commas and dashes (hyphens) are replaced with a space (provided, however, that if the word "co-op" appears anywhere in the name, the hyphen in "co-op" is not replaced with a space; instead, the word "co-op" is replaced with the word "coop").

(ii) All other punctuation marks, and all accent marks, are disregarded.

(4)

(i) The following words, phrases and abbreviations, if located at the end of a name, will be disregarded:

COMPANY

CORP

CORPORATION

INC

INCORPORATED

L L C

L L P

L LC

L LP

L P

LIMITED

LIMITED LIABILITY CO

LIMITED LIABILITY COMPANY

LIMITED LIABILITY PARTNERSHIP

LIMITED PARTNERSHIP

LL C

LL P

LLC

LLP

LTD

LTD PARTNERSHIP

P C

P L L

P L L C

P L LC

P LL

P LL C

P LLC

PL L

PL L C

PL LC

PLL

PLL C

PLLC

PROF CORP

PROFESSIONAL CORP

PROFESSIONAL CORPORATION

PROFESSIONAL LIMITED LIABILITY CO

PROFESSIONAL LIMITED LIABILITY COMPANY

PROFESSIONALCORPORATION

R L L P

R L LP

R LL P

R LLP

REGISTERED LIMITED LIABILITY PARTNERSHIP

RL L P

RL LP

RLL P

RLLP

(ii) After the words, phrases and abbreviations set forth in subparagraph (i) of this paragraph have been removed from the end of the name, the name will be reviewed again, and if the word "COMPANY" or the abbreviation "CO" is then located at the end of the name, such word or abbreviation will be disregarded.

(5) The following words, anywhere in the name, will be disregarded: "the," "of," "and" and "or."

(6) All spaces, and all characters other than letters (A to Z) or numbers (0 to 9), will be disregarded.

(7) Except as otherwise provided in paragraph (9) of this subdivision, in the case of a search against the name of an individual, the name specified in the search request (as modified by application of the rules set forth in paragraphs [1] through [6] of this subdivision) will be used to create two-character strings: the first such character string will consist of: the last name, as specified in the search request; the first name, as specified in the search request; the middle name or middle initial (if any), as specified in the search request; and the suffix (if any), as specified in the search request and the second such character string will consist of: the first name, as specified in the search request; the middle name or middle initial (if any), as specified in the search request; the last name, as specified in the search request; and the suffix (if any), as specified in the search request. The pre-July 1, 2001 index (including the alternative name index) will then be searched for each stored name that is an exact match to either of such character strings. In searching for such matches, the following rules will apply:

(i) The search results will reflect only the name as submitted in the search request (as modified by application of the rules set forth in paragraphs [1] through [6] of this subdivision), without variations. So-called "similar matches" or "proximity matches" will not be included in the search results.

(ii) The presence or absence of a middle name or middle initial is significant.

(iii) Initials are not treated as the logical equivalent of names that begin with such initials.

(iv) The presence or absence of a suffix is significant.

(v) An abbreviation of a word is not treated as the logical equivalent of the word.

(vi) The order in which the components of the name were set forth in the filed document is significant.

(vii) The presence or absence of a prefix in the name as set forth in the filed document is significant.

(viii) Nicknames are not treated as the logical equivalent of a given name.

(8) In the case of a search against the name of an organization, the pre-July 1, 2001 index (including the alternative name index) will be searched for each stored name that is an exact match to the name specified in the search request (as modified by application of the rules set forth in paragraphs [1] through [6] of this subdivision). In searching for such matches, the following rules will apply:

(ii) An abbreviation of a word is not treated as the logical equivalent of the word.

(iii) The order in which the components of the name were set forth in the filed document is significant.

(9) In the case of a search against an individual, if the search request has no entry in the first name field, then:

(i) the entry (if any) in the middle name field of the search request and the entry (if any) in the suffix field of the search request will be ignored; and

(ii) for the purpose of searching the pre-July 1, 2001 index, only one character string will be created, and that character string will be the name specified in the last name field of the search request; and

(iii) the pre-July 1, 2001 index (including the alternative name index) will be searched for each stored name that is an exact match to such character string.

For example, if a search request has "Smith" in the last name field, no entry in the first name field, no entry (or any entry) in the middle name field, and no entry (or any entry) in the suffix field, the pre-July 1, 2001 index will be searched for stored names that match the character string "SMITH." The search will retrieve pre-July 1, 2001 filings in which the debtor name is specified as "Smith," but will not retrieve any pre-July 1, 2001 filing in which the debtor name contains "Smith" and any other word(s), initial(s), or abbreviation(s).

(d) The rules set forth in this subdivision apply to names stored in the post-July 1, 2001 index and to searches by the central filing office for names stored in the post-July 1, 2001 index.

(1) There is no limit to the number of matches that may be returned in response to the search criteria.

(2) No distinction is made between upper and lower case letters.

(3) Punctuation marks and accent marks are treated as follows:

(ii) All other punctuation marks, and all accent marks, are disregarded.

(4)

(i) The words, phrases and abbreviations set forth in subparagraph (c)(4)(i) of this section, if located at the end of the name, will be disregarded.

(ii) After the words phrases and abbreviations set forth in subparagraph (c)(4)(i) of this section have been removed from the end of the name, the name will be reviewed again, and if the word "COMPANY" or the abbreviation "CO" is then located at the end of the name, such word or abbreviation will be disregarded.

(5) The following words, anywhere in the name, will be disregarded: "the," "of," "and" and "or."

(6) All spaces, and all characters other than letters (A to Z) or numbers (0 to 9), will be disregarded.

(7) In the case of a search against the name of an individual, the post-July 1, 2001 index will be searched (in the individual name category only) for each stored name that is an exact match to the name specified in the search request (as modified by application of the rules set forth in paragraphs [1] through [6] of this subdivision). In searching for such matches, the following rules will apply:

(ii) Notwithstanding subparagraph (i) of this paragraph, an initial in the first name field or the middle name field of a search request is treated as the logical equivalent of all names that begin with such initial (and, for example, a search request with an initial in the first name field will retrieve post-July 1, 2001 filings with that initial, or any name beginning with that initial, specified in the first name field [provided that the name otherwise matches the search request]); however, an initial in the first name field or middle name field of a filing is not treated as the logical equivalent of all names that begin with such initial (and, for example, a filing that specifies the initial "J." in the first name field will not be retrieved by a search request that specifies "John" in the first name field).

(iii) Notwithstanding subparagraph (i) of this paragraph, a search request with no entry in the middle name field will retrieve post-July 1, 2001 filings with no name or initial, or any name or initial, specified in the middle name field (provided that the name otherwise matches the search request).

(iv) Notwithstanding subparagraph (i) of this paragraph, a search request with no entry in the suffix field will retrieve post-July 1, 2001 filings with no entry, or any entry, in the suffix field (provided that the name in the filing otherwise matches the name in the search request).

(v) If the search request contains an entry in the suffix field:

(a) the search will retrieve a post-July 1, 2001 filing with an entry in the suffix field only if the suffix as specified in the filing exactly matches the suffix as specified in the search request (and the name in the filing otherwise matches the name in the search request); and

(b) notwithstanding subparagraph (i) of this paragraph, the search will retrieve post- July 1, 2001 filings with no entry in the suffix field (provided that the name in the filing otherwise matches the name in the search request).

(vi) Except as provided in subparagraph (ii) of this paragraph with respect to initials in the first name field and middle name field, an abbreviation of a word is not treated as the logical equivalent of the word.

(vii) The fields in which the components of the name were set forth in the filed document is significant.

(viii) Nicknames are not treated as the logical equivalent of a given name.

(8) In the case of a search against the name of an organization, the post-July 1, 2001 index will be searched (in the organization debtor category only) for each stored name that is an exact match to the name specified in the search request (as modified by application of the rules set forth in paragraphs [1] through [6] of this subdivision). In searching for such matches, the following rules will apply:

(ii) An abbreviation of a word is not treated as the logical equivalent of the word.

(iii) The order in which the components of the name were set forth in the filed document is significant.

(e) After using the preceding rules to modify the name of the debtor requested to be searched, the search will reveal only names of debtors that exactly match the name requested (as modified).

(f) Reports created in response to a search request shall include the following:

(1) identification of the filing office and the certification of the filing officer required by law;

(2) the date the report was generated;

(3) identification of the name searched;

(4) the certification date and time for which the search is effective;

(5) identification of each unlapsed initial financing statement filed on or prior to the certification date and time corresponding to the search criteria, by name of debtor, by file number, and by file date (and, if requested in the search request, identification of each lapsed initial financing statement filed on or prior to the certification date corresponding to the search criteria, by name of debtor, by file number, and by file date, provided that a record of such initial financing statement is still maintained by the filing office under section 9-522[a] of the UCC on the certification date); and

(6) for each initial financing statement identified in the report, a copy of the first page of each related UCC document (if any) filed by the filing office on or prior to the certification date (or, in lieu of a copy of the first page of such related UCC document, other information sufficient to identify such related UCC document).

(g) If a search request presented to the central filing office is limited by the city (or city and state) of the debtor (see section 143-4.2[e] of this Subpart), filings will be returned only if the city (or city and state) as specified in the search request exactly match(es) the city (or city and state) as specified in the filed document. For the purposes of determining if the city (or city and state) as specified in an address-limited search request presented to the central filing office exactly match(es) the city (or city and state) specified in a filed document:

(1) human judgment does not play a role. The search results will reflect only the city name (or city and state names) as submitted in the search request, without variations. So-called " similar matches" or "proximity matches" will not be included in the search results;

(2) an abbreviation of a word is not considered to be an exact match for the word fully spelled out; and

(3) if the address-limited search request specifies a city but not a state, the search will retrieve filings in which the city as specified in the filed document exactly matches the city as specified in the search request, without regard to the state specified in the filed document.

N.Y. Comp. Codes R. & Regs. Tit. 19 §§ 143-4.3