N.Y. Comp. Codes R. & Regs. Tit. 19 § 143-1.3 - Approved forms

(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.

Notes

N.Y. Comp. Codes R. & Regs. Tit. 19 § 143-1.3