DFI-CCS 1.01(5)(5) “Correction statement” filed under s. 409.518, Stats., means a UCC document that indicates that a financing statement is inaccurate or wrongfully filed. DFI-CCS 1.01(6)(6) “Department” means the department of financial institutions. DFI-CCS 1.01(8)(8) “Filing agent of the department” means any office duly authorized by the department to receive documents under ch. 409, Stats. DFI-CCS 1.01(9)(9) “Filing office” means the department or a filing agent of the department. DFI-CCS 1.01(11)(11) “Filing officer statement” means a statement of correction entered into the filing office’s information management system to correct an error by the filing officer. DFI-CCS 1.01(13)(13) “Inactive filing” means a UCC record that has reached the first anniversary of its lapse date. DFI-CCS 1.01(14)(14) “Index” means information that is entered into the filing office’s information management system to create a means by which to retrieve filing information. DFI-CCS 1.01(15)(15) “Individual” means a human being, or a decedent in the case of a debtor that is the decedent’s estate. DFI-CCS 1.01(16)(16) “Initial financing statement” means a UCC document containing the information required to be in an initial financing statement and that causes the filing office to establish the initial record of existence of a financing statement that does not identify itself as an amendment or identify an initial financing statement. DFI-CCS 1.01(17)(17) “Lapse date” means the expiration date for an initial financing statement set forth in s. 409.515, Stats. DFI-CCS 1.01(18)(18) “Lapsed filing” means a UCC document that has reached its expiration date. DFI-CCS 1.01(20)(a)(a) The standard initial financing statement (“UCC1”) which includes two or more UCC financing statement addendums (“UCC1ad”), or the standard amendment (“UCC3”) which includes two or more UCC amendment addendums (“UCC3ad”) as set forth in Wis. Stat. s. 409.521. DFI-CCS 1.01(21)(21) “Organization” means a legal person that is not an individual. DFI-CCS 1.01(22)(22) “Remitter” means a person who tenders a UCC document to the filing officer for filing, whether the person is a filer or an agent of a filer responsible for tendering the document for filing. “Remitter” shall not include a person responsible merely for the delivery of the document to the filing office, but may include a service provider who acts as a filer’s representative in the filing process. DFI-CCS 1.01 NoteNote: The postal service and a courier service are merely responsible for the delivery of the document to the filing office.
DFI-CCS 1.01(25)(25) “Standard UCC filing” means any writing presented to a filing officer for filing, presented on an 8 1/2 x 11 inch standard UCC form as set forth in s. 409.521, Stats., which may include the following: DFI-CCS 1.01(29)(29) “UCC document” means an initial financing statement, an amendment, an assignment, a continuation, a termination or a correction statement. The word “document” in the term “UCC document” shall not be deemed to refer exclusively to paper or paper-based writings. DFI-CCS 1.01 NoteNote: This definition is used for the purpose of chs. DFI-CCS 1 to 7 only. The use of the term “UCC document” in these chapters shall have no relation to the definition of the term ”document” in s. 409.102 (1)(hg), Stats. UCC documents may be expressed or transmitted electronically or through media other than these writings. DFI-CCS 1.01(31)(31) “XML” means eXtensible Markup Language. XML is a language for storing data and metadata. DFI-CCS 1.01(32)(32) “XML document” means a UCC document transmitted from a remitter to the filing officer in XML format and via techniques authorized under this rule. DFI-CCS 1.01 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02; CR 23-026: am. (20) (a) Register February 2024 No. 818, eff. 3-1-24. DFI-CCS 1.02DFI-CCS 1.02 Place to file. The filing office shall be the office for filing UCC documents relating to all types of collateral except for timber to be cut, as-extracted collateral as set forth in s. 409.102 (1) (bg), Stats., and, when the relevant financing statement is filed as a fixture filing, goods which are or are to become fixtures. Regardless of the nature of the collateral, the filing office shall be the office for filing all UCC documents where the debtor is a transmitting utility. DFI-CCS 1.02 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02. DFI-CCS 1.03DFI-CCS 1.03 Filing office identification. The filing office shall disseminate information of its location, mailing address, telephone numbers, and its Internet and other electronic addresses. DFI-CCS 1.03 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02. DFI-CCS 1.04(1)(1) Except as authorized by the department, electronic mail shall not be used for filing UCC documents or for requesting searches of the records of financing statements. DFI-CCS 1.04(2)(2) Facsimile shall not be used for filing UCC documents or for requesting searches of the records of financing statements. DFI-CCS 1.04 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02. DFI-CCS 1.05DFI-CCS 1.05 Office hours. Office hours shall be from 7:45 a.m. until 4:30 p.m. There shall be no office hours on state legal holidays. The office shall receive transmissions electronically 24 hours every day of the year, except for scheduled maintenance and unscheduled interruptions of service. DFI-CCS 1.06DFI-CCS 1.06 UCC document delivery. UCC documents shall be tendered for filing at the filing office by any of the following: DFI-CCS 1.06(1)(1) When filed by personal or courier delivery at the filing office’s street address, the file time shall be the time of delivery even though the UCC document may not yet have been accepted for filing and may subsequently be rejected. A UCC document delivered after regular business hours or on a day the filing office is not open for business shall have a filing time of the start of business on the next day the filing office is open for business. DFI-CCS 1.06(3)(3) When filed by postal service delivery, the file time shall be the date and time of actual arrival in the filing office, even though the UCC document may not yet have been accepted for filing and may subsequently be rejected. A UCC document delivered after regular business hours or on a day the filing office is not open for business shall have a filing time of the start of business on the next day the filing office is open for business. DFI-CCS 1.06(4)(a)(a) When available, UCC documents may be transmitted electronically by any of the following: DFI-CCS 1.06(4)(a)2.2. Transmitting a UCC document through data entry on the filing officer’s Internet web page. DFI-CCS 1.06(4)(b)(b) The file time for a UCC document delivered by these methods shall be the time that the filing office’s system analyzes the relevant transmission and determines that the required elements of the transmission have been received in the required format and the required payment has been accepted. DFI-CCS 1.06 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02; CR 23-026: am. (1), r. (2), am. (4) (b) Register February 2024 No. 818, eff. 3-1-24. DFI-CCS 1.07DFI-CCS 1.07 Search request delivery. UCC search requests shall be delivered to the filing office by any of the means set forth in s. DFI-CCS 1.06. DFI-CCS 1.07 NoteNote: Requirements concerning search requests are set forth in s. DFI-CCS—CCS 5.02.
DFI-CCS 1.08DFI-CCS 1.08 Approved forms. The forms prescribed by s. 409.521, Stats. shall be accepted by the filing office. Forms approved by the International Association of Corporate Administrators and forms approved by the department shall be accepted. When filing a correction statement, the “UCC correction statement” form, UCC—5, shall be used. Other forms shall not be accepted by the filing office. DFI-CCS 1.08 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02. DFI-CCS 1.09DFI-CCS 1.09 Form - UCC search. A form that meets the requirements regarding dimensions and location of information on the search form approved by the department or that is transmitted electronically in accordance with chs. DFI-CCS 1 to 6 shall be acceptable. Other forms shall not be accepted by the filing office. DFI-CCS 1.09 HistoryHistory: CR 01-122: cr. Register February 2002 No. 554, eff. 3-1-02. DFI-CCS 1.10(1)(1) Filing fees. The following fees shall be paid for UCC filings: DFI-CCS 1.10(1)(a)(a) For filing and indexing a UCC standard filing communicated on paper or in a paper-based format on the standard form, $20.00. DFI-CCS 1.10(1)(e)(e) For filing and indexing a UCC document communicated by an authorized medium which is other than on paper or in a paper-based format, $10.00. DFI-CCS 1.10(2)(2) Additional fees. In addition to fees set forth in sub. (1), the following fees shall be paid for statements that indicate that the statement is filed in connection with any of the following: DFI-CCS 1.10(2)(a)(a) For filing an initial financing statement that indicates that it is filed in connection with a public finance transaction, $20.00. DFI-CCS 1.10(2)(b)(b) For filing an initial financing statement that indicates that it is filed in connection with a manufactured home transaction, $20.00. DFI-CCS 1.10(2)(c)(c) For filing an initial financing statement that indicates that it is filed as a transmitting utility, $150.00. DFI-CCS 1.10(2)(d)(d) The fee for filing and indexing all UCC amendments or corrections shall be as stated in sub. (1). DFI-CCS 1.10(3)(3) UCC search and other fees. The following fees shall be paid for UCC searches and other services: DFI-CCS 1.10(3)(a)(a) For a UCC search request communicated on paper or in a paper-based format, $50.00. DFI-CCS 1.10(3)(b)(b) For filing and indexing a UCC search request communicated by an authorized medium which is other than on paper or in a paper-based format, $7.00. DFI-CCS 1.10(3)(c)(c) For a copy of an individual financing statement and the filings associated therewith, $4.00. DFI-CCS 1.10(3)(e)2.2. A copy of the full data base of indexed filings, which shall at a minimum include both active filings and filings that have lapsed within the last year, $500.00. DFI-CCS 1.10(3)(e)3.3. Images of indexed filings of UCC documents filed in the most recent calendar week, $250.00. DFI-CCS 1.10(3)(e)4.4. A full index of UCC images, $250 plus any third-party vendor charges to retrieve and provide the images. The department shall provide the requester with an estimate of any third-party vendor charges before incurring them, and it may require the requester to pay all or a portion of such charges in advance. DFI-CCS 1.10(3)(e)5.5. Certification of any individual document or image requested under this section, $10.00. DFI-CCS 1.10(3)(e)6.6. If requested at the time of initial online filing, notification service providing notice of an upcoming lapse or any amendment, $7.00 per financing statement. DFI-CCS 1.10(4)(4) Filing agents of the department. With the exception of termination statements, filing agents of the department who have completed the training and met the requirements established by the filing officer shall retain $10.00 from each paper filing processed by the filing agent’s office. The remainder of the filing fee shall be sent to the department, not less than once each month. The filing agent shall receive no reimbursement for processing termination statements.
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Chs. DFI-CCS 1-25; Department of Financial Institutions-Corporate and Consumer Services
administrativecode/DFI-CCS 1.01(28)
administrativecode/DFI-CCS 1.01(28)
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