Compiling...

Certificate of Compliance and Certificate of Deposit Requirements - Industry UCAA
Certificate of Compliance and Certificate of Deposit Requirements

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.

Updates to the information will be noted with a "*" next to the state name and edits will be italicized and bolded.
Last Update: 10/29/2020

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 No
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. Yes 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. No Yes
NY Contact State for Requirement.    
NC 6 months from Date of Application. No  
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. Yes 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