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Uniform Commerical Code

SOSDirect - Online Searching and Filing
Online Searching and Filing

Frequently Asked Questions

General Questions

  1. What types of documents are filed with the Secretary of State or county clerk?
  2. Where can I file my documents?
  3. What are the filing fees?
  4. Do I need to send in one check for all submitted filings in a batch or one check for each separate filing in a batch?
  5. What forms are required?
  6. Is there a charge for additional debtor names?
  7. What is the procedure for Acknowledgment copies?
  8. FAX filings - How do I file and pay for the filing(s)?
  9. When do documents receive expedited handling?
  10. Do you provide online access for filing documents and information on filed documents?
  11. How do I set up and fund a client account?
  12. When do I receive a monthly client account statement?
  13. Why does my client account balance vary from one month to the other month?
  14. Why is my client account being charged fees when I initially set up the account and used a credit card as the payment method?

Initial Filings

  1. Which filing office is the correct place to file?
  2. Where does the debtor sign on the UCC1 form?
  3. When is a UCC Financing Statement Addendum (Form UCC1Ad) or UCC Financing Statement Additional Party (Form UCC1AP) used?
  4. Where do I locate the organizational debtor information?

Amendment Filings

  1. When is a UCC Financing Statement Amendment Addendum (Form UCC3Ad) or UCC Financing Statement Amendment Additional Party (Form UCC3AP) used?
  2. Can an Assignment and Amendment be filed on the same form?
  3. What boxes need to be checked in item 5?

Information Requests

  1. How can I request copies if I need them quickly?
  2. Where do I locate the ‘Ending Noise Words’ list?

SOSDIRECT

  1. How do I do a Filing Number Search?
  2. When does my client account get charged for inquiries?

General Questions

  1. What types of documents are filed with the Secretary of State or county clerk?

    Information on filing documents with the Secretary of State or the county clerk is available within this UCC Section.

  2. Where can I file my documents?

    Documents may be submitted online through the SOSDirect web access system.

    Documents may be presented in person at:

    Secretary of State
    Uniform Commercial Code
    1019 Brazos, Suite 505
    Austin, TX 78701

    Documents can be mailed to:

    Secretary of State
    Uniform Commercial Code
    PO Box 13193
    Austin, TX 78711-3193

    Delivery Service documents can be delivered to:

    Secretary of State
    Uniform Commercial Code
    1019 Brazos, Room B-05
    Austin, TX 78701

    More contact information is available.

  3. What are the filing fees?

    A paper filing that consists of 2 pages or less is $15 and if 3 pages or more is $30. Documents presented in person that received expedited handling are charged the same as a paper filing and will be charged an additional fee of $15 per filing that is required for expedited processing of an acknowledgment. A filing submitted through SOSDirect online system is $5. More specific filing fees are available within this section.

  4. Do I need to send in one check for all submitted filings in a batch or one check for each separate filing in a batch?

    All payments are deposited into the client’s account and filing fees are deducted as the batch is processed, so one check or separate checks are accepted depending on the filer’s preference.

  5. What forms are required?

    Filers are required to use the forms approved by the International Association of Commercial Administrators and adopted by rule by the Secretary of State. All other forms are rejected. The prescribed forms are available in fill-in-the-blank format via the browser and are located on the Agency web site.

    This applies to only Article 9 records filed as: Financing Statement, Agricultural Lien, Contract Agricultural Lien, Manufactured-Home Transaction, Public-Finance Transaction, and Transmitting Utility. This does not apply to records filed as: Notice of Federal Lien, Utility Security Instrument, Aircraft Maintenance Lien, Restitution Lien, or Transition Property Notice.

  6. Is there a charge for additional debtor names?

    No.

  7. What is the procedure for Acknowledgment copies?

    Do not send in an Acknowledgment copy since one is automatically generated from our system and is sent to the name and address on the submitted envelope, not to the Acknowledgment Name and Address in Item C of the form. Documents presented in person that received expedited handling will need to include an Acknowledgment Copy of the filing.

  8. FAX filings - How do I file and pay for the filing(s)?

    Complete the upper 2 areas of the Payment Form (Word, PDF) and fax the payment form along with the filing to 512-463-1423. A fax filing is processed by expedited handling and incurs a higher filing fee. The filing fee for a document of 2 pages or less is $32 and for 3 pages or more is $47. A confirmation will be faxed to the submitter on the same day of filing if received in the office by 4:45 p.m. (CT); otherwise it will be faxed the morning of the next business day.

  9. When do documents receive expedited handling?

    When they are received by walk-in service or by FAX. Overnight services such as Airborne, FedEx, or UPS do not receive expedited handling because this is a type of mail service.

  10. Do you provide online access for filing documents and information on filed documents?

    Yes. More information on filing and searching is available at: SOSDirect An instruction booklet is available upon request by contacting Sondra Hadley at 512-475-2740.

  11. How do I set up and fund a client account?

    If you need to verify if you may already have an existing account or assistance to setup a new account, please contact Sondra Hadley at 512-475-2740. A client account is automatically created when a document is submitted. The account requires funds to file a document. For checks, a check may be submitted that is in the estimated amount of filings in a specific time period and fees will be deducted from this amount in your client account.

    For credit card (American Express, Discover, MasterCard, or Visa), a Payment Form (Word, PDF) may be submitted that is in the estimated amount of filings in a specific time period and fees will be deducted from this amount in your client account.

    LegalEase is a guaranteed electronic payment method that facilitates the payment of fees to governmental agencies and is offered by Frost Bank of San Antonio. To utilize the service a customer maintains funds in an account with Frost Bank and is issued a debit card. The customer provides the card number when filing documents or paying for services received from the Agency. The cost is charged to the customer’s account and payment is made by Frost Bank to the Secretary of State.

    Wire Transfer is an electronic payment method whereby the amount is deducted from the checking account of the submitter through the State of Texas Comptroller of Public Accounts Federal Reserve Account. Specific information is required to perform this transfer, which may be obtained from this office.

    For LegalEase, Wire Transfer, or pre-payment by check, please contact Sondra Hadley at 512-475-2740.

  12. When do I receive a monthly client account statement?

    When the client account balance contains a balance greater than $2 due to the Secretary of State.

  13. Why does my client account balance vary from one month to the other month?

    Pending charges may not have posted to your client account based on the closing date of the client account statements.

  14. Why is my client account being charged fees when I initially set up the account and used a credit card as the payment method?

    The credit card information is not retained in the system. The credit card information has to be entered for every session that is transacted through SOSDirect.

Initial Filings

  1. Which filing office is the correct place to file?

    1. A Texas county clerk for the filing or recording of a mortgage on the related real property if:
      1. the collateral is as-extracted collateral or timber to be cut; or
      2. the financing statement is filed as a fixture filing and the collateral is goods that are or are to become fixtures; or
    2. The Texas Secretary of State in all other cases.

  2. Where does the debtor sign on the UCC1 form?

    There is no signature requirement on any of the financing statement filing forms and the forms were not designed to accommodate a signature. Under Article 9, it is the responsibility of the filer to ensure the proper authority exists to submit and file the documents. The Government Code, Subchapter J, Sections 51.901-51.905, relates to filing a fraudulent document and a decision would be made by the court, not the filing office.

  3. When is a UCC Financing Statement Addendum (Form UCC1Ad) or UCC Financing Statement Additional Party (Form UCC1AP) used?

    Please read the instructions and use them for the specific action related to the UCC1 being filed. The filing combinations can be as follows: UCC1 and UCC1Ad; UCC1 and UCC1Ad and UCC1AP; or UCC1 and UCC1AP. The UCC1AP form may only be used in conjunction with the UCC1 form to add multiple debtors or secured parties.

  4. Where do I locate the organizational debtor information, including the ID number?

    For Texas corporations, contact the Public Information Section of the Corporations Section of the Agency at 512-463-5555.

Amendment Filings

  1. When is a UCC Financing Statement Amendment Addendum (Form UCC3Ad) or UCC Financing Statement Amendment Additional Party (Form UCC3AP) used?

    Please read the instructions and use them for the specific action related to the UCC3 being filed. The filing combinations can be as follows: UCC3 and UCC3Ad; UCC3 and UCC3Ad and UCC3AP; or UCC3 and UCC3AP. The UCC3AP form may only be used in conjunction with the UCC3 form to add multiple debtors or secured parties and not as a reference summary of all the current parties of record.

  2. Can an Assignment and Amendment be filed on the same form?

    No. When filing an assignment or amendment, item 7 is necessary for either type of filing, so only one filing can be accomplished when using the form. Please submit separate forms for these types of filings.

  3. What boxes need to be checked in item 5?

    Check the Party Information Change box, only one of the party types that is either Debtor or Secured Party, and check only one of the action types that is either Change, Delete, or Add.

Information Requests

  1. How can I request copies if I need them quickly?

    Contact the UCC Unit at 512-475-2703 and an expedited order will be taken over the phone. These types of requests are not available through the SOSDirect online system.

  2. Where do I locate the ‘Ending Noise Words’ list?

    The Ending Noise Words (Word, PDF) list, as promulgated and adopted by the Office of the Secretary of State of Texas, provides business endings that will be ignored in a UCC search.

SOSDIRECT

  1. How do I do a Filing Number Search?

    For Initial Financing Statement file numbers for filings filed through July 30, 2001, enter the two digit year and eight digit number. Example for 1999 is 99-00123456 and for 2000 is 00-00123456.

    For Initial Financing Statement file numbers for filings filed on or after July 31, 2001, enter the two digit year and ten digit number. Example for 2002 is 02-0012345678.

    For all Amendment Filings: enter the two digit year and eight digit number. Example for 1999: 99-00722285 and 2002 is 02-00123456.

    PLEASE DO NOT USE THE HYPHEN WHEN INPUTTING THE NUMBER INTO THE SYSTEM.

  2. When does my client account get charged for an inquiry?

    A client account gets charged for an inquiry once a name or number is entered into the system and the ‘Search’ button is clicked on. This begins the process of searching the records and providing results of the inquiry. This will include results that state: “No records exist which match the criteria you have entered.”