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 |