Frequently Asked Questions



For questions regarding specific subjects, click on the appropriate category below:


Forms

What UCC forms are acceptable for use in California?

Section 9521 of the California Uniform Commercial Code contains the statutorily mandated UCC Financing Statement (Form UCC1), UCC Financing Statement Addendum (Form UCC1Ad), UCC Financing Statement Amendment (Form UCC3) and UCC Financing Statement Amendment Addendum (Form UCC3Ad). All of these forms have a revision date of 4/20/2011. Due to statutory changes in filing requirements, filing forms with earlier revision dates cannot be accepted.


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Where can these forms be obtained?

Forms are available from the UCC Forms & Fees page under “Mail/Counter Submissions”. These forms may be completed online, printed and either mailed or delivered in person to the Secretary of State’s Sacramento office. As an alternative, and for faster processing, filings can be submitted online using UCC Connect.


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Can UCC statements be filed online?

UCC Connect provides online services for customers to submit certain UCC filings, conduct a variety of inquiries, including access to images, and place orders for debtor search certificates and certified copies on UCC records filed with the Secretary of State’s office.


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Services

What is the quickest way to have UCC documents filed?

UCC Connect provides online services for customers to submit UCC financing statements and related change documents, in addition to providing the ability to conduct a variety of inquiries, including access to images, and place orders for debtor search certificates and certified copies on UCC records filed with the Secretary of State‘s office.


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What is the fee for filing?

Filing fees are based on the method of submission and the number of pages in the submission. A complete list of current fees can be found on the Forms & Fees page.


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How can an individual without access to the internet file documents?

Documents can be mailed to the Secretary of State’s Sacramento office at P.O. Box 942835, Sacramento, California 94235, or delivered in person to the Uniform Commercial Code-Statement of Information public counter at 1500 11th Street, Room 255, Sacramento, CA 95814.


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Does the Secretary of State’s office provide confirmation when documents have been filed?

Once a document has been filed, a copy of the filed document, along with an Acknowledgment of Filing showing how the document was indexed, will be returned to the filer.


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Filings

Are social security numbers and federal tax identification numbers required in California?

There is no requirement for providing any type of personal or business identification numbers on UCC documents filed with the Secretary of State‘s office. In order to help protect privacy, California Uniform Commercial Code section 9526.5 requires the Secretary of State to truncate any social security number presented on a UCC document.


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The returned Acknowledgment Letter states ”All debtors/secured parties were not indexed“. What does this mean?

This statement indicates that enough information was provided on the document to accept the document for filing, but not all of the party information (debtor/secured party name and address) was complete enough for indexing. The Acknowledgment Letter shows the information that was indexed. A Financing Statement Amendment (Form UCC3) can be used to add information to the record.


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How long does a financing statement remain active?

Most financing statements have a duration of 5 years before they lapse. Once a financing statement has lapsed, the file number and party names (debtor and secured party) associated with the financing statement remain available in the searchable index for an additional year before being removed.


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I have discovered a document that should not have been filed. What can I do?

California Uniform Commercial Code section 9518 and the Information Statement (Form UCC5) provide the ability for a person who feels they were wrongfully or inadvertently named on a financing statement to file an information statement with the Secretary of State‘s office. The filing of the UCC5 Information Statement does not remove the filing, but is added to the financing statement record and provides notice to anyone searching the UCC records.


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