The chart below identifies the Certificate of Compliance and Deposit requirements for each Uniform State. A link to the Application instructions for Expansion Application, Section II, Filing Requirement Item 4; and Expansion Application, Section II, Filing Requirement Item 8 and Corporate Amendment Application Sections I and V, Filing Requirement Item 6 and Section III, Filing Requirements Item 5; Corporate Amendment Application, Section I, Filing Requirement Item 9 are provided.
The UCAA suggests that the date of issuance of the Certificate of Deposit and Certificate of Compliance be no more than 6 months from the date the applicant files the application.
Last Update: 06/12/2023
Updates to the information will be noted with a "*" next to the state name and edits will be italicized and bolded.
State | Current Date of Certification | Process Certificates through the Electronic UCAA |
Accepts Certificates through the Electronic UCAA Processed/Scanned |
---|---|---|---|
AL | 6 months from Date of Application. | Yes | Yes |
AK | As of date of last Annual Statement. | Yes | Yes |
AR | 6 months from Date of Application. | Yes | Yes |
AZ | 6 months from Date of Application. | Yes | Yes |
CA | 1 Year. | Yes | |
CO | 1 Year. | Yes | Yes |
CT | 6 months from Date of Application. | No | Yes |
DE | 1 Year. | Yes | Yes |
DC | 1 Year. | Yes | Yes |
FL | 6 months from Date of Application. | Yes | Yes |
GA | 6 months from Date of Application. | No | Accepts scanned copy |
HI | 6 months from Date of Application. | Yes | Must have original Certificate if not processed through the Electronic UCAA. |
ID | 6 months from Date of Application. | Yes | Yes |
IL | Contact State for Requirements. | No | No |
*IN | 6 months from Date of Application. | No | Yes |
IA | 1 Year. | Yes | Yes |
KS | 6 months from Date of Application. | Yes | Yes |
KY | 6 months from Date of Application. | Yes | Yes |
LA | 6 months from Date of Application. | Yes | Yes |
ME | 6 months from Date of Application. | No | Yes |
MD | Most Recent Year End. | Yes | Yes |
MA | 6 months from Date of Application. | No | Yes |
MI | 6 months from Date of Application. Certificate of Deposit must include a listing of securities on deposit. | No, Cert of Deposit Yes, Cert of Compliance |
Yes |
MN | 6 months from Date of Application. | No | Yes, must be on the Uniform Form. |
MS | 6 months from Date of Application. | Yes | Yes |
MO | 6 months from Date of Application. | Yes | Yes |
MT | Most Recent Year End. Deposited securities that mature must have a current Certificate with a current deposit/security. |
Yes | Yes |
NE | 6 months from Date of Application. | Yes | Yes |
NV | 1 year from Date of Application. | Yes | Yes |
NH | 6 months from Date of Application. | Yes | Yes |
NJ | Most Recent Year End | Yes | Yes |
*NM | 6 months from Date of Application. | Yes | Yes |
NY | Contact State for Requirement. | ||
NC | 6 months from Date of Application. | No | Yes |
ND | 1 Year. | Yes | Yes |
OH | 6 Months/As Close to Date of Application as Possible. | Yes | Yes |
OK | 6 months from Date of Application. | Yes | Yes |
OR | 6 months from Date of Application. | No | |
PA | 1 Year. | Yes | Yes |
PR | The effective date of the Certificate of Authority is when the authorization process is completed, effective until June 30. | No | Yes |
RI | 6 months from Date of Application. | No, Cert of Deposit Yes, Cert of Compliance |
Yes |
SC | 6 months from Date of Application. | No | Yes |
SD | 6 months from Date of Application. | Yes | Yes |
TN | Must Provide Current Information on Certificates. | No | Yes |
TX | Not Required. | No | Yes |
UT | 1 Year. | Yes | Yes, if Provided by Domiciliary State. |
VT | 6 months from Date of Application. | Yes | Yes |
VA | 6 months from Date of Application. | Yes | Yes |
WA | 6 months from Date of Application. | Yes | Yes |
WV | 6 months from Date of Application. | No | Yes, if provided by Domiciliary State. Certificate of Compliance must be accompanied with the most recent Certificate of Authority. |
WI | No state requirements. Will contact domiciliary state. | No | Yes |
WY | 1 Year. | Yes | Yes |