§ 9-406. DISCHARGE OF ACCOUNT DEBTOR; NOTIFICATION OF ASSIGNMENT; IDENTIFICATION AND PROOF OF ASSIGNMENT; RESTRICTIONS ON ASSIGNMENT OF ACCOUNTS, CHATTEL PAPER, PAYMENT INTANGIBLES, AND PROMISSORY NOTES INEFFECTIVE.

应收账款债务人的清偿; 转让通知; 转让的证明和证据;对应收账款、担保债权凭证、付款无体财产权和本票转让的限制无效.

 

　　（a） [Discharge of account debtor; effect of notification.]

　　Subject to subsections （b） through （i）, an account debtor on an account, chattel paper, or a payment intangible may discharge its obligation by paying the assignor until, but not after, the account debtor receives a notification, authenticated by the assignor or the assignee, that the amount due or to become due has been assigned and that payment is to be made to the assignee. After receipt of the notification, the account debtor may discharge its obligation by paying the assignee and may not discharge the obligation by paying the assignor.

　　（b） [When notification ineffective.]

　　Subject to subsection （h）, notification is ineffective under subsection （a）:

　　（1） if it does not reasonably identify the rights assigned;

　　（2） to the extent that an agreement between an account debtor and a seller of a payment intangible limits the account debtor's duty to pay a person other than the seller and the limitation is effective under law other than this article; or

　　（3） at the option of an account debtor, if the notification notifies the account debtor to make less than the full amount of any installment or other periodic payment to the assignee, even if:

　　（A） only a portion of the account, chattel paper, or general intangible has been assigned to that assignee;

　　（B） a portion has been assigned to another assignee; or

　　（C） the account debtor knows that the assignment to that assignee is limited.

　　（c） [Proof of assignment.]

　　Subject to subsection （h）, if requested by the account debtor, an assignee shall seasonably furnish reasonable proof that the assignment has been made. Unless the assignee complies, the account debtor may discharge its obligation by paying the assignor, even if the account debtor has received a notification under subsection （a）.

　　（d） [Term restricting assignment generally ineffective.]

　　Except as otherwise provided in subsection （e） and Sections 2A-303 and 9-407, and subject to subsection （h）, a term in an agreement between an account debtor and an assignor or in a promissory note is ineffective to the extent that it:

　　（1） prohibits, restricts, or requires the consent of the account debtor or person obligated on the promissory note to the assignment or transfer of, or the creation, attachment, perfection, or enforcement of a security interest in, the account, chattel paper, payment intangible, or promissory note; or

（2） provides that the creation, attachment, perfection, or enforcement of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the account, chattel paper, payment intangible, or promissory note.

(a) [应收账款债务人的解除; 通知的效力

 应收账款债务人收到一份经让与人或受让人鉴别的、该应付金额或将成为应付的金额已经被转让，并且该付款将被作出给受让人的通知之前，但不在该时之后，受(b)到(i)款影响，应收账款、担保债权凭证或物体财产付款上的应收账款债务人可以通过向让与人支付清偿其债务。在收到该通知之后，应收账款债务人可以通过向受让人支付清偿其债务，并且，不得通过向让与人支付清偿其债务。

 (b) [何时通知无效

 受(h)款影响，(a)款下的通知无效：

 (1) 若其未合理地确定被转让的权利；

 (2) 在应收账款债务人和物体财产付款出卖人之间的协议限制应收账款债务人向除该出卖人外的人支付的义务的范围内，并且，该限制在除本篇外的法律下有效；或

 (3) 根据应收账款债务人的选择，若该通知指示应收账款债务人作出比任何分期付款或其他定期付款的充分金额更少的金额给受让人，即使：

 (a) 仅仅应收账款、担保债权凭证或物体财产付款的一部分已经被转让给该受让人；

 (b) 一部分已经被转让给其他受让人；或

 (c) 应收账款债务人知道贵该受让人的转让被限制。

 (c) [转让的证据

 受(h)款影响，若应收账款债务人要求，受让人应当及时地提供该转让已经被作出的合理证据。除非受让人遵从，应收账款债务人可以通过向让与人支付清偿其债务，即使应收账款债务人已经收到(a)款下的通知。

(d) [限制转让的条款通常无效

 除非(e)款和§2a-303和9-407另有规定和受(h)款影响，应收账款债务人和让与人之间的协议中或本票中的条款在下列范围内无效，该条款：

 (1) 禁止、限制或要求应收账款债务人或在本票上负有义务的人同意应收账款、担保债权凭证、物体财产付款或本票的转让或转移、或其中的担保权益的创设、附系、完善或执行；或

 (2) 规定该转让或转移或担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在应收账款、担保债权凭证、物体财产付款或本票下的救济。

 

　　（e） [Inapplicability of subsection （d） to certain sales.]

　　Subsection （d） does not apply to the sale of a payment intangible or promissory note.

　　（f） [Legal restrictions on assignment generally ineffective.]

　　Except as otherwise provided in Sections 2A-303 and 9-407 and subject to subsections （h）and （i）, a rule of law, statute, or regulation that prohibits, restricts, or requires the consent of a government, governmental body or official, or account debtor to the assignment or transfer of, or creation of a security interest in, an account or chattel paper is ineffective to the extent that the rule of law, statute, or regulation:

　　（1） prohibits, restricts, or requires the consent of the government, governmental body or official, or account debtor to the assignment or transfer of, or the creation, attachment, perfection, or enforcement of a security interest in the account or chattel paper; or

　　（2） provides that the creation, attachment, perfection, or enforcement of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the account or chattel paper.

　　（g） [Subsection （b）（3） not waivable.]

Subject to subsection （h）, an account debtor may not waive or vary its option under subsection （b）（3）.

(e) [(d)款不适用于一定的买卖

 (d)款不适用于物体财产付款或本票买卖。

 (f) [对转让的法律限制通常无效

 除非§2a-303和9-407另有规定和受(h)和(i)款影响，法律规则、法令或规章禁止、限制或要求政府、政府机构或政府官员、或应收账款债务人同意应收账款或担保债权凭证的转让或转移、或其担保权益的创设的，在该法律规则、法令或规章范围内无效：

 (1) 禁止、限制或要求政府、政府机构或政府官员、或应收账款债务人同意应收账款或担保债权凭证的转让或转移、或其担保权益的创设、附系、完善、或执行；或

 (2) 规定该担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在应收账款、担保债权凭证下的救济。

 (g) [(b)(3)款不可放弃

 受(h)款影响，应收账款债务人不得放弃其在(b)(3)款下的选择权。

 

　　（h） [Rule for individual under other law.]

　　This section is subject to law other than this article which establishes a different rule for an account debtor who is an individual and who incurred the obligation primarily for personal, family, or household purposes.

　　（i） [Inapplicability to health-care-insurance receivable.]

　　This section does not apply to an assignment of a health-care-insurance receivable.

　　（j） [Section prevails over specified inconsistent law.]

　　This section prevails over any inconsistent provisions of the following statutes, rules, and regulations:

　　[List here any statutes, rules, and regulations containing provisions inconsistent with this section.]

Legislative Note:

(h) [在其他法律下为自然人的规则

 本条受除本篇外的法律的影响，该法律为作为自然人，并且主要为个人、家人、家庭或家居目的招致该债务的应收账款债务人设立不同的规则。

 (i) [不适用于卫生保健保险收益

 本条不适用于卫生保健保险收益转让。

 (j) [本条优于特定的不一致的法律

 本条优于下列法令、规则和规章的任何不一致的规定：

 [在此列举包含与本条不一致的规定的任何法令、规则和规章。]

 

§ 9-407. RESTRICTIONS ON CREATION OR ENFORCEMENT OF SECURITY INTEREST IN LEASEHOLD INTEREST OR IN LESSOR'S RESIDUAL INTEREST.

对租赁权益中或出租人的剩余权益中的担保权益的创设或执行的限制.

 

　　（a） [Term restricting assignment generally ineffective.]

　　Except as otherwise provided in subsection （b）, a term in a lease agreement is ineffective to the extent that it:

　　（1） prohibits, restricts, or requires the consent of a party to the lease to the creation, attachment, perfection, or enforcement of a security interest in an interest of a party under the lease contract or in the lessor's residual interest in the goods; or

　　（2） provides that the creation, attachment, perfection, or enforcement of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the lease.

　　（b） [Effectiveness of certain terms.]

　　Except as otherwise provided in Section 2A-303（7）, a term described in subsection （a）（2） is effective to the extent that there is:

　　（1） a transfer by the lessee of the lessee's right of possession or use of the goods in violation of the term; or

（2） a delegation of a material performance of either party to the lease contract in violation of the term.

(a) [限制转让的条款通常无效

 除非(b)款另有规定，租赁协议中的条款在下列范围内无效，该条款：

 (1) 禁止、限制或要求租赁当事人同意在该租赁合同下的当事人的权益中或在出租人的货物中的剩余权益中的担保权益的转让或转移、或其担保权益的创设、附系、完善、或执行；或

 (2) 规定该转让或转移、或担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在该租赁下的救济。

 (b) [一定的条款的效力

 除非§2a-303(7)另有规定，规定在(a)(2)的条款在下列范围内有效：

 (1) 承租人对承租人的货物占有或使用权的转让违反该条款；或

 (2) 租赁合同的任一方当事人的实际履行的委托违反该条款。

 

　　（c） [Security interest not material impairment.]

The creation, attachment, perfection, or enforcement of a security interest in the lessor's interest under the lease contract or the lessor's residual interest in the goods is not a transfer that materially impairs the lessee's prospect of obtaining return performance or materially changes the duty of or materially increases the burden or risk imposed on the lessee within the purview of Section 2A-303（4） unless, and then only to the extent that, enforcement actually results in a delegation of material performance of the lessor.

(c) [担保权益没有实质损害

 出资人在租赁合同下的权益中的担保权益的创设、附系、完善、或执行或出租人在货物中的剩余权益，在§2a-303(4)的范围内，不是实质损害承租人的获得对待履行的期待的转让，或实质性地改变承租人的义务或者实质性地增加其负担或风险，除非，然后仅限于执行实际上产生出租人的实质履行的委托的范围内。

 

§ 9-408. RESTRICTIONS ON ASSIGNMENT OF PROMISSORY NOTES, HEALTH-CARE-INSURANCE RECEIVABLES, AND CERTAIN GENERAL INTANGIBLES INEFFECTIVE.

对本票、卫生保健保险收益和一定的一般无体财产的转让的限制无效.

 

　　（a） [Term restricting assignment generally ineffective.]

　　Except as otherwise provided in subsection （b）, a term in a promissory note or in an agreement between an account debtor and a debtor which relates to a health-care-insurance receivable or a general intangible, including a contract, permit, license, or franchise, and which term prohibits, restricts, or requires the consent of the person obligated on the promissory note or the account debtor to, the assignment or transfer of, or creation, attachment, or perfection of a security interest in, the promissory note, health-care-insurance receivable, or general intangible, is ineffective to the extent that the term:

　　（1） would impair the creation, attachment, or perfection of a security interest; or

　　（2） provides that the creation, attachment, or perfection of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the promissory note, health-care-insurance receivable, or general intangible.

　　（b） [Applicability of subsection （a） to sales of certain rights to payment.]

Subsection （a） applies to a security interest in a payment intangible or promissory note only if the security interest arises out of a sale of the payment intangible or promissory note.

(a) [限制转让的条款通常无效

 除非(b)款另有规定，在本票或在应收账款债务人和债务人之间的协议中的条款，其涉及卫生保健保险收益或一般无体财产的，包括合同、允许、许可或特权，并且该条款禁止、限制或要求本票上负有义务的人或应收账款债务人同意本票、卫生保健保险收益或一般无体财产上的担保权益创设、附系、完善的，在该条款的下述范围内有效：

 (1) 该条款将削弱担保权益的创设、附系、完善；或

 (2) 规定该转让或转移、或担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在本票、卫生保健保险收益或一般无体财产下的救济。

 (b) [(a)款适用于一定的付款请求权的买卖

 仅当担保权益产生于无体财产付款或本票买卖时，(a)适用于物体财产付款或本票上的担保权益。

 

　　（c） [Legal restrictions on assignment generally ineffective.]

　　A rule of law, statute, or regulation that prohibits, restricts, or requires the consent of a government, governmental body or official, person obligated on a promissory note, or account debtor to the assignment or transfer of, or creation of a security interest in, a promissory note, health-care-insurance receivable, or general intangible, including a contract, permit, license, or franchise between an account debtor and a debtor, is ineffective to the extent that the rule of law, statute, or regulation:

　　（1） would impair the creation, attachment, or perfection of a security interest; or

　　（2） provides that the creation, attachment, or perfection of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the promissory note, health-care-insurance receivable, or general intangible.

　　（d） [Limitation on ineffectiveness under subsections （a） and （c）.]

　　To the extent that a term in a promissory note or in an agreement between an account debtor and a debtor which relates to a health-care-insurance receivable or general intangible or a rule of law, statute, or regulation described in subsection （c） would be effective under law other than this article but is ineffective under subsection （a） or （c）, the creation, attachment, or perfection of a security interest in the promissory note, health-care-insurance receivable, or general intangible:

　　（1） is not enforceable against the person obligated on the promissory note or the account debtor;

　　（2） does not impose a duty or obligation on the person obligated on the promissory note or the account debtor;

　　（3） does not require the person obligated on the promissory note or the account debtor to recognize the security interest, pay or render performance to the secured party, or accept payment or performance from the secured party;

　　（4） does not entitle the secured party to use or assign the debtor's rights under the promissory note, health-care-insurance receivable, or general intangible, including any related information or materials furnished to the debtor in the transaction giving rise to the promissory note, health-care-insurance receivable, or general intangible;

　　（5） does not entitle the secured party to use, assign, possess, or have access to any trade secrets or confidential information of the person obligated on the promissory note or the account debtor; and

　　（6） does not entitle the secured party to enforce the security interest in the promissory note, health-care-insurance receivable, or general intangible.

　　（e） [Section prevails over specified inconsistent law.]

　　This section prevails over any inconsistent provisions of the following statutes, rules, and regulations:

　　[List here any statutes, rules, and regulations containing provisions inconsistent with this section.]

Legislative Note:

(c) [对转让的法律限制一般无效

 法律规则、法令或规章禁止、限制或要求政府、政府机构或政府官员、在本票上负有义务的人或应收账款债务人同意本票、卫生保健保险收益或一般无体财产的转让或转移、或其担保权益的创设的，包括在应收账款债务人和债务人之间的合同、允许、许可或特许，该法律规则、法令或规章的下述范围无效：

 (1) 将削弱担保权益的创设、附系、或完善；或

 (2) 规定该转让或转移、或担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在本票、卫生保健保险收益或一般无体财产下的救济。

 (d) [(a)和(c)款下的无效性的限制

 本票或在应收账款债务人和债务人之间的协议中的一个条款，涉及卫生保健保险收益或一般无体财产或(c)款规定的法律规则、法令或规章的，在除本篇外的法律下有效，但是在(a)或(c)款下无效，在此范围内，本票、卫生保健保险收益或一般无体财产中的担保权益的创设、附系、或完善：

 (1) 对在本票上负有义务的人或应收账款债务人不具有强制执行效力；

 (2) 不对在本票上负有义务的人或应收账款债务人施加一项义务或职责；

 (3) 不要求在本票上负有义务的人或应收账款债务人承认该担保权益，支付或给予履行给担保权人，或接受担保权人的付款或者履行；

 (4) 不使担保权人有权使用或转让债务人在本票、卫生保健保险收益或一般无体财产下的权利，包括任何供应给产生本票、卫生保健保险收益或一般无体财产的交易的债务人的相关信息或原料；

 (5) 不使担保权人有权使用、转让、占有或有权使用在本票上负有义务的人或应收账款债务人的任何商业秘密或秘密信息；及

 (6) 不使担保权人有权执行本票、卫生保健保险收益或一般无体财产中的担保权益。

 (e) [本条优于特定的不一致的法律

 本条优于下列法令、规则和规章的任何不一致的规定：

 [在此列举包含与本条不一致的规定的任何法令、规则和规章。]

 

§ 9-409. RESTRICTIONS ON ASSIGNMENT OF LETTER-OF-CREDIT RIGHTS INEFFECTIVE.

对信用证权利转让的限制无效.

 

　　（a） [Term or law restricting assignment generally ineffective.]

　　A term in a letter of credit or a rule of law, statute, regulation, custom, or practice applicable to the letter of credit which prohibits, restricts, or requires the consent of an applicant, issuer, or nominated person to a beneficiary's assignment of or creation of a security interest in a letter-of-credit right is ineffective to the extent that the term or rule of law, statute, regulation, custom, or practice:

　　（1） would impair the creation, attachment, or perfection of a security interest in the letter-of-credit right; or

　　（2） provides that the creation, attachment, or perfection of the security interest may give rise to a default, breach, right of recoupment, claim, defense, termination, right of termination, or remedy under the letter-of-credit right.

　　（b） [Limitation on ineffectiveness under subsection （a）.]

　　To the extent that a term in a letter of credit is ineffective under subsection （a） but would be effective under law other than this article or a custom or practice applicable to the letter of credit, to the transfer of a right to draw or otherwise demand performance under the letter of credit, or to the assignment of a right to proceeds of the letter of credit, the creation, attachment, or perfection of a security interest in the letter-of-credit right:

　　（1） is not enforceable against the applicant, issuer, nominated person, or transferee beneficiary;

　　（2） imposes no duties or obligations on the applicant, issuer, nominated person, or transferee beneficiary; and

　　（3） does not require the applicant, issuer, nominated person, or transferee beneficiary to recognize the security interest, pay or render performance to the secured party, or accept payment or other performance from the secured party.

可适用于信用证的信用证或法律规则、法令、规章条款、习惯或惯例，禁止、限制或要求申请人、发行人或指定的人同意受益人转让、创设信用证权利中的担保权益的，法律规则、法令、规章条款、习惯或惯例的下述范围无效：

 (1) 将削弱信用证权利中的担保权益的创设、附系、或完善；或

 (2) 规定该担保权益的创设、附系、完善、或执行可以引起不履行、违约、索赔权、主张、抗辩、终止、终止权或在信用证权利下的救济。

 (b) [(a) 款下的无效性的限制

 在(a)款下无效，但在除本篇外的法律下有效的信用证条款，或者，可适用于信用证、领取或以其他方式请求在信用证下的履行的权利之转让、或信用证收益的转让权、信用证权利中的担保权益的创设、附系、或完善的习惯或惯例：

 (1) 对于申请人、发行人、指定的人或受让人受益人不具有强制执行效力；

 (2) 不对申请人、发行人、指定的人或受让人受益人施加一项义务或职责；及

 (3) 不要求申请人、发行人、指定的人或受让人受益人承认该担保权益，支付或给予履行给担保权人，或接受担保权人的付款或者履行。

 

Part 5. Filing [Table of Contents] 登记

[Subpart 1. Filing Office; Contents and Effectiveness of Financing Statement] [Table of Contents] 档案处;融资申明书的内容和效力

　　§ 9-501. FILING OFFICE. 档案处.

　　（a） [Filing offices.]

　　Except as otherwise provided in subsection （b）, if the local law of this State governs perfection of a security interest or agricultural lien, the office in which to file a financing statement to perfect the security interest or agricultural lien is:

　　（1） the office designated for the filing or recording of a record of a mortgage on the related real property, if:

　　（A） the collateral is as-extracted collateral or timber to be cut; or

　　（B） the financing statement is filed as a fixture filing and the collateral is goods that are or are to become fixtures; or

　　（2） the office of [ （2） the office of [ ] [or any office duly authorized by [ ]], iall other cases, including a case in which the collateral is goods that are or are to become fixtures and the financing statement is not filed as a fixture filing.

　　（b） [Filing office for transmitting utilities.]

　　The office in which to file a financing statement to perfect a security interest in collateral, including fixtures, of a transmitting utility is the office of [ atement to perfect a security interest in collateral, including fixtures, of a transmitting utility is the office of [ ]. The financing statement also constitutes a fixture filing as to the collateral indicated in the financing statement which is or ito become fixtures.

Legislative Note:

除非(b)款另有规定，若本州当地的法律调整担保权益或农业留置权的完善，为完善担保权益或农业留置权而在其处登记融资申明书的办事处为：

 (1) 为相关不动产上的抵押记录的登记或记录而指定的办事处，若：

 (a) 担保物是萃取后的担保物或将砍伐的木材；或

 (b) 融资申明书作为固定设备登记而登记和担保物是是或将成为固定设备的货物；或

 (2) [或由[ ]适时批准的任何办事处]的办事处，在所有其他情形，包括担保物是作为或将成为固定设备的货物和融资申明书不登记为固定设备登记的情形。

 (b) [为传输事业公司的档案处

 为完善包括固定设备的传输事业公司的担保物中的担保权益而登记融资申明书的办事处，为[ ]的办事处。关于融资申明书中指出的、作为或将成为固定设备的担保物，融资申明书也构成固定设备登记。

 

 9-502. CONTENTS OF FINANCING STATEMENT; RECORD OF MORTGAGE AS FINANCING STATEMENT; TIME OF FILING FINANCING STATEMENT.

融资申明书的内容; 作为融资申明书的抵押档案; 登记融资申明书的时间.

 

　　（a） [Sufficiency of financing statement.]

　　Subject to subsection （b）, a financing statement is sufficient only if it:

　　（1） provides the name of the debtor;

　　（2） provides the name of the secured party or a representative of the secured party; and

　　（3） indicates the collateral covered by the financing statement.

　　（b） [Real-property-related financing statements.]

　　Except as otherwise provided in Section 9-501（b）, to be sufficient, a financing statement that covers as-extracted collateral or timber to be cut, or which is filed as a fixture filing and covers goods that are or are to become fixtures, must satisfy subsection （a） and also:

　　（1） indicate that it covers this type of collateral;

　　（2） indicate that it is to be filed [for record] in the real property records;

　　（3） provide a description of the real property to which the collateral is related [sufficient to give constructive notice of a mortgage under the law of this State if the description were contained in a record of the mortgage of the real property]; and

（4） if the debtor does not have an interest of record in the real property, provide the name of a record owner.

(a) [融资申明书的充分

受(b)款的影响，融资申明书为充分的，仅当其：

(1) 规定债务人的名称；

(2) 规定担保权人或其代表的名称；及

(3) 指出该融资申明书包含的担保物。

(b) [涉及不动产的融资申明书

除非§9-501(b)另有规定，包含萃取后的担保物或将砍伐的木材的融资申明书，或登记为固定设备登记并包含作为或将成为固定设备的货物的融资申明书，成其为充分，必须满足(a)款并：

(1) 指出其包含担保物的类型；

(2) 指出其将被登记[记录]在不动产记录中；

(3) 规定担保物涉及的不动产的描述[足以给予在本州法律下的抵押的建设性通知，若该描述包含于不动产抵押登记中]；及

(4) 若债务人不享有不动产登记的权益，规定登记所有人的名称。

 

　　（c） [Record of mortgage as financing statement.]

　　A record of a mortgage is effective, from the date of recording, as a financing statement filed as a fixture filing or as a financing statement covering as-extracted collateral or timber to be cut only if:

　　（1） the record indicates the goods or accounts that it covers;

　　（2） the goods are or are to become fixtures related to the real property described in the record or the collateral is related to the real property described in the record and is as-extracted collateral or timber to be cut;

　　（3） the record satisfies the requirements for a financing statement in this section other than an indication that it is to be filed in the real property records; and

　　（4） the record is [duly] recorded.

　　（d） [Filing before security agreement or attachment.]

　　A financing statement may be filed before a security agreement is made or a security interest otherwise attaches.

Legislative Note:

(c) [作为融资申明书的抵押登记

从登记日期起，作为固定设备登记而登记的融资申明书，或作为包含萃取后的担保物或将砍伐的木材的融资申明书的抵押登记有效，仅当：

(1) 该登记指出其包含的货物或应收账款；

(2) 货物是作为或将成为固定设备，涉及规定在该档案中的不动产的固定设备，或担保物涉及规定在该档案中的不动产并且是萃取后的担保物或将砍伐的木材；

(3) 该档案满足本条对于融资申明书的条件，除其将被登记在不动产档案中的指示外；及

(4) 该档案被[适时地]登记。

(d) [在担保协议或附系前登记

融资申明书可以在担保协议签订前或担保权益以其他方式附系前登记。

 

　　§ 9-503. NAME OF DEBTOR AND SECURED PARTY. 债务人和担保权人的名称.

 

　　（a） [Sufficiency of debtor's name.]

　　A financing statement sufficiently provides the name of the debtor:

　　（1） if the debtor is a registered organization, only if the financing statement provides the name of the debtor indicated on the public record of the debtor's jurisdiction of organization which shows the debtor to have been organized;

　　（2） if the debtor is a decedent's estate, only if the financing statement provides the name of the decedent and indicates that the debtor is an estate;

　　（3） if the debtor is a trust or a trustee acting with respect to property held in trust, only if the financing statement:

　　（A） provides the name specified for the trust in its organic documents or, if no name is specified, provides the name of the settlor and additional information sufficient to distinguish the debtor from other trusts having one or more of the same settlors; and

　　（B） indicates, in the debtor's name or otherwise, that the debtor is a trust or is a trustee acting with respect to property held in trust; and

　　（4） in other cases:

　　（A） if the debtor has a name, only if it provides the individual or organizational name of the debtor; and

　　（B） if the debtor does not have a name, only if it provides the names of the partners, members, associates, or other persons comprising the debtor.

　　（b） [Additional debtor-related information.]

　　A financing statement that provides the name of the debtor in accordance with subsection （a） is not rendered ineffective by the absence of:

　　（1） a trade name or other name of the debtor; or

　　（2） unless required under subsection （a）（4）（B）, names of partners, members, associates, or other persons comprising the debtor.

　　（c） [Debtor's trade name insufficient.]

　　A financing statement that provides only the debtor's trade name does not sufficiently provide the name of the debtor.

　　（d） [Representative capacity.]

　　Failure to indicate the representative capacity of a secured party or representative of a secured party does not affect the sufficiency of a financing statement.

　　（e） [Multiple debtors and secured parties.]

A financing statement may provide the name of more than one debtor and the name of more than one secured party.

(a) [债务人的名称的充分性.]

 融资申明书充分地规定债务人的名称：

 (1) 若债务人是注册法人，仅当融资申明书规定显示债务人已经被组织的债务人的法人管辖地的公开档案上指示的债务人的名称；

 (2) 若债务人是死者的财产，仅当融资申明书规定死者的名称，并且，指出债务人是一项财产；

 (3) 若债务人是一项信托，或信托中持有财产的受托人，仅当该融资申明书：

 (a) 规定为信托而在其组织章程中指定的名称，或者，若没有名称被指定，规定财产授与人的名称，足以区别债务人与其他具有一个以上相同的财产授与人的信托的追加信息；及

 (b) 在债务人的名称中或以其他方式，指出债务人是一项信托或是信托中持有财产的受托人；及

 (4) 在其他情形：

 (a) 若债务人具有一个名称，仅当其规定债务人的自然人名字或法人名称；及

 (b) 若债务人没有一个名称，仅当其规定合伙人、成员、合作人或由债务人组成的其他人的名称。

 (b) [涉及债务人的追加信息.]

 依照(a)款规定债务人的名称的融资申明书不因缺乏下列各项而无效：

 (1) 商号或债务人的其他名称；或

 (2) 除非(a)(4)(b)要求，合伙人、成员、合作人或由债务人组成的其他人的名称。

 (c) [债务人不充分的商号.]

 仅规定债务人的商号的融资申明书不充分规定债务人的名称。

 (d) [代表能力.]

 未能指出担保权人的代表的能力，或担保权人的代表的，不影响融资申明书的充分性。

 (e) [多债务人和担保权人.]

 融资申明书可以规定不止一个债务人的名称，和不止一个担保权人的名称。

 

　　§ 9-504. INDICATION OF COLLATERAL. 担保物的指示.

A financing statement sufficiently indicates the collateral that it covers only if the financing statement provides:

融资申明书充分地指出其包含的担保物，若融资申明书规定：

 

　　（1） a description of the collateral pursuant to Section 9-108; or

（2） an indication that the financing statement covers all assets or all personal property.

(1) 依照 §9-108担保物的描述；或

 (2) 融资申明书包含所有资产或所有个人财产的陈述。

 

§ 9-505. FILING AND COMPLIANCE WITH OTHER STATUTES AND TREATIES FOR CONSIGNMENTS, LEASES, OTHER BAILMENTS, AND OTHER TRANSACTIONS.

登记和遵从为转让、租赁、其他寄托和其他交易的其他法令和条约.

 

　　（a） [Use of terms other than "debtor" and "secured party."]

　　A consignor, lessor, or other bailor of goods, a licensor, or a buyer of a payment intangible or promissory note may file a financing statement, or may comply with a statute or treaty described in Section 9-311（a）, using the terms "consignor", "consignee", "lessor", "lessee", "bailor", "bailee", "licensor", "licensee", "owner", "registered owner", "buyer", "seller", or words of similar import, instead of the terms "secured party" and "debtor".

　　（b） [Effect of financing statement under subsection （a）.]

This part applies to the filing of a financing statement under subsection （a） and, as appropriate, to compliance that is equivalent to filing a financing statement under Section 9-311（b）, but the filing or compliance is not of itself a factor in determining whether the collateral secures an obligation. If it is determined for another reason that the collateral secures an obligation, a security interest held by the consignor, lessor, bailor, licensor, owner, or buyer which attaches to the collateral is perfected by the filing or compliance.

(a) [除"债务人"和"担保权人" 外的术语的使用

 发货人、出租人、或货物的其他寄托人、许可人、或物体财产付款或本票的买方可以登记融资申明书，或可以遵守§9-311(a)规定的法令或条约，使用"发货人"、"收货人"、"出租人"、"承租人"、"寄托人"、"保管人"、"许可人"、"被许可人"、"所有者"、"登记所有者"、"买方"、"卖方"术语，或类似含义的词语，代替"担保权人"和"债务人"。

 (b) [(a)款下的融资申明书的效力

 本章适用于(a)款下的融资申明书的登记，并且，若为适当，适用于等同于§9-311(b)款下的融资申明书的登记的遵从行为，但该登记或遵从本身不是一件事实或决定担保物是否担保一项债务。若因其他原因，担保物确定担保一项债务，发货人、出租人、寄托人、许可人、所有人或买方持有的、附系到该担保物的担保权益通过登记或遵从行为完善。

 

　　§ 9-506. EFFECT OF ERRORS OR OMISSIONS. 错误或疏忽的效果.

　　（a） [Minor errors and omissions.]

　　A financing statement substantially satisfying the requirements of this part is effective, even if it has minor errors or omissions, unless the errors or omissions make the financing statement seriously misleading.

　　（b） [Financing statement seriously misleading.]

　　Except as otherwise provided in subsection （c）, a financing statement that fails sufficiently to provide the name of the debtor in accordance with Section 9-503（a） is seriously misleading.

　　（c） [Financing statement not seriously misleading.]

　　If a search of the records of the filing office under the debtor's correct name, using the filing office's standard search logic, if any, would disclose a financing statement that fails sufficiently to provide the name of the debtor in accordance with Section 9-503（a）, the name provided does not make the financing statement seriously misleading.

　　（d） ["Debtor's correct name."]

For purposes of Section 9-508（b）, the "debtor's correct name" in subsection （c） means the correct name of the new debtor.

(a) [次要的错误和疏忽

 充分符合本章规定的条件的融资申明书有效，即使其有次要的错误或疏忽，除非该错误或疏忽使得该融资申明书严重引人误解。

 (b) [严重引人误解的融资申明书

 除非(c)款另有规定，未能依照§9-503(a)充分规定债务人名称的融资申明书为严重引人误解。

 (c) [不严重引人误解的融资申明书

 若使用档案处的标准搜索原理，债务人的正确名称下的档案处的档案的搜索将披露未能依照§9-503(a)充分规定债务人名称的融资申明书，该规定的名称不使融资申明书严重引人误解。

 (d) ["债务人的不正确的名称

 为§9-508(b)的目的，(c)款的"债务人的不正确的名称"指新的债务人的正确名称。

 若债务人变更其名称，以致已登记的融资申明书成为§9-506下的严重引人误解：

 (1) 融资申明书具有完善在该变更之前或之后4个月内债务人获得的担保物中的担保权益的效力；及

 (2) 融资申明书不具有完善在该变更之前或之后4个月内债务人获得的担保物中的担保权益的效力， 除非在该变更之后4个月内，对致使融资申明书不严重引人误解的融资申明书的修正被登记。

 

　　§ 9-507. EFFECT OF CERTAIN EVENTS ON EFFECTIVENESS OF FINANCING STATEMENT. 必然事件对融资申明书效力的影响.

 

　　（a） [Disposition.]

　　A filed financing statement remains effective with respect to collateral that is sold, exchanged, leased, licensed, or otherwise disposed of and in which a security interest or agricultural lien continues, even if the secured party knows of or consents to the disposition.

　　（b） [Information becoming seriously misleading.]

　　Except as otherwise provided in subsection （c） and Section 9-508, a financing statement is not rendered ineffective if, after the financing statement is filed, the information provided in the financing statement becomes seriously misleading under Section 9-506.

　　（c） [Change in debtor's name.]

　　If a debtor so changes its name that a filed financing statement becomes seriously misleading under Section 9-506:

　　（1） the financing statement is effective to perfect a security interest in collateral acquired by the debtor before, or within four months after, the change; and

（2） the financing statement is not effective to perfect a security interest in collateral acquired by the debtor more than four months after the change, unless an amendment to the financing statement which renders the financing statement not seriously misleading is filed within four months after the change.

(a) [处分.]

关于被出售、交换、出租、许可或以其他方式处分的担保物，已登记的融资申明书保持有效，并且，上述货物中的担保权益或农业留置权继续，即使该担保权人知道或同意该处分。

 (b) [严重引人误解的信息.]

 除非(c)款和§9-508另有规定，融资申明书不被致使无效，若，在融资申明书被登记后，融资申明书规定的信息成为§9-506下的严重引人误解。

 (c) [债务人名称的的变更.]

 若债务人变更其名称，以致已登记的融资申明书成为§9-506下的严重引人误解：

 (1) 融资申明书具有完善在该变更之前或之后4个月内债务人获得的担保物中的担保权益的效力；及

 (2) 融资申明书不具有完善在该变更之前或之后4个月内债务人获得的担保物中的担保权益的效力， 除非在该变更之后4个月内，对致使融资申明书不严重引人误解的融资申明书的修正被登记。

 

§ 9-508. EFFECTIVENESS OF FINANCING STATEMENT IF NEW DEBTOR BECOMES BOUND BY SECURITY AGREEMENT.

若新的债务人受担保协议约束，融资申明书的效力. (a) [指定原债务人的融资申明书

 

　　（a） [Financing statement naming original debtor.]

　　Except as otherwise provided in this section, a filed financing statement naming an original debtor is effective to perfect a security interest in collateral in which a new debtor has or acquires rights to the extent that the financing statement would have been effective had the original debtor acquired rights in the collateral.

　　（b） [Financing statement becoming seriously misleading.]

　　If the difference between the name of the original debtor and that of the new debtor causes a filed financing statement that is effective under subsection （a） to be seriously misleading under Section 9-506:

　　（1） the financing statement is effective to perfect a security interest in collateral acquired by the new debtor before, and within four months after, the new debtor becomes bound under Section 9-203（d）; and

　　（2） the financing statement is not effective to perfect a security interest in collateral acquired by the new debtor more than four months after the new debtor becomes bound under Section 9-203（d） unless an initial financing statement providing the name of the new debtor is filed before the expiration of that time.

　　（c） [When section not applicable.]

This section does not apply to collateral as to which a filed financing statement remains effective against the new debtor under Section 9-507（a）.

除非本条另有规定，已登记的融资申明书，指定原债务人的，具有完善新的债务人享有或获得权利的担保物中的担保权益的效力，在将会已经有效的融资申明书使原债务人获得担保物中的权利的范围内。

(b) [严重引人误解的融资申明书

 若原债务人和新的债务人名称之间的差别促使在(a)款下有效的已登记的融资申明书在§9-506下严重引人误解：

 (1) 在新的债务人受§9-203(d)约束之前并在之后4个月内，新的债务人获得的担保物中的担保权益，融资申明书具有效力去完善之；及

 (2) 在§9-203(d)下受约束之后超过4个月，新的债务人获得的担保物中的担保权益，融资申明书不具有完善该担保权益的效力，除非规定新的债务人名称的初始的融资申明书在该时间终止之前登记。

 (c) [何时本条不适用

 本条不适用于担保物，关于其，已登记的融资申明书保持对§9-507(a)下的新的债务人有效。

　　§ 9-509. PERSONS ENTITLED TO FILE A RECORD. 有权登记一份档案的人.

　　（a） [Person entitled to file record.]

　　A person may file an initial financing statement, amendment that adds collateral covered by a financing statement, or amendment that adds a debtor to a financing statement only if:

　　（1） the debtor authorizes the filing in an authenticated record; or

　　（2） the person holds an agricultural lien that has become effective at the time of filing and the financing statement covers only collateral in which the person holds an agricultural lien.

　　（b） [Security agreement as authorization.]

　　By authenticating or becoming bound as debtor by a security agreement, a debtor or new debtor authorizes the filing of an initial financing statement, and an amendment, covering:

　　（1） the collateral described in the security agreement; and

　　（2） property that becomes collateral under Section 9-315（a）（2）, whether or not the security agreement expressly covers proceeds.

　　（c） [Acquisition of collateral as authorization.]

　　By acquiring collateral in which a security interest or agricultural lien continues under Section 9-315（a）（1）, a debtor authorizes the filing of an initial financing statement, and an amendment, covering the collateral and property that becomes collateral under Section 9-315（a）（2）.

　　（d） [Person entitled to file certain amendments.]

　　A person may file an amendment other than an amendment that adds collateral covered by a financing statement or an amendment that adds a debtor to a financing statement only if:

　　（1） the secured party of record authorizes the filing; or

　　（2） the amendment is a termination statement for a financing statement as to which the secured party of record has failed to file or send a termination statement as required by Section 9-513（a） or （c）, the debtor authorizes the filing, and the termination statement indicates that the debtor authorized it to be filed.

　　（e） [Multiple secured parties of record.]

If there is more than one secured party of record for a financing statement, each secured party of record may authorize the filing of an amendment under subsection （d）.

(a) [有权登记一份档案的人

 一个人可以登记初始的融资申明书，添加融资申明书包含的担保物的修正，或添加债务人到融资申明书中的修正，仅当：

 (1) 在经鉴别的档案中，或依照(b)或(c)款，债务人批准该登记；或

 (2) 此人持有登记时生效的农业留置权，并且融资申明书仅包含此人在其中持有农业留置权的担保物。

 (b) [作为授权的担保协议

 通过鉴别或作为债务人受担保协议约束，债务人或新的债务人批准初始的融资申明书和一份修正的登记，其包含：

 (1) 担保协议所规定的担保物；及

 (2) 在§9-315(a)(2)下成为担保物的财产，无论担保协议是否明确包含收益。

 (c) [作为授权获得担保物

 初始的融资申明书和一份修正包含包含成为在§9-315(a)(2)下的担保物的担保物和财产的，担保物中的担保权益或农业留置权在§9-315(a)(1)下继续，通过获得该担保物，债务人批准其登记。

 (d) [有权登记一定的修正的人

 除添加融资申明书所包含的担保物的修正或添加债务人到融资申明书中的修正之外，一个人可以登记一份修正，仅当：

 (1) 档案的担保权人批准该登记；或

 (2) 该修正是对于融资申明书的终止申明书，关于其，档案的担保权人未能登记或发送通过§9-513(a)或(c)获得的终止申明书，债务人批准该登记，并且，该终止申明书指出债务人批准其被登记。

 (e) [档案的多担保权人

 若对于融资申明书存在不止一个担保权人，每个档案担保权人可以批准(d)款下的修正的登记。

 

　　§ 9-510. EFFECTIVENESS OF FILED RECORD. 已登记的档案的效力.

　　（a） [Filed record effective if authorized.]

　　A filed record is effective only to the extent that it was filed by a person that may file it under Section 9-509.

　　（b） [Authorization by one secured party of record.]

　　A record authorized by one secured party of record does not affect the financing statement with respect to another secured party of record.

　　（c） [Continuation statement not timely filed.]

A continuation statement that is not filed within the six-month period prescribed by Section 9-515（d） is ineffective.

(a) [已登记的档案有效若经批准

 已登记的档案仅在其由在§9-509下可以登记其的人登记的范围内有效。

 (b) [档案的担保权人批准

 档案的担保权人批准的档案不影响融资申明书对于档案的其他担保权人的效力。

 (c) [未及时登记的延续申明书

 

　　§ 9-511. SECURED PARTY OF RECORD. .档案的担保权人.

　　（a） [Secured party of record.]

　　A secured party of record with respect to a financing statement is a person whose name is provided as the name of the secured party or a representative of the secured party in an initial financing statement that has been filed. If an initial financing statement is filed under Section 9-514（a）, the assignee named in the initial financing statement is the secured party of record with respect to the financing statement.

　　（b） [Amendment naming secured party of record.]

　　If an amendment of a financing statement which provides the name of a person as a secured party or a representative of a secured party is filed, the person named in the amendment is a secured party of record. If an amendment is filed under Section 9-514（b）, the assignee named in the amendment is a secured party of record.

　　（c） [Amendment deleting secured party of record.]

A person remains a secured party of record until the filing of an amendment of the financing statement which deletes the person.

 (a) [档案的担保权人

 关于融资申明书的档案的担保权人是这样一个人，其名称作为担保权人或担保权人的代表的名称，被登记在已经被登记的初始的融资申明书。若初始的融资申明书被登记在§9-514(a)下，初始的融资申明书中指定的受让人是关于该融资申明书的档案的担保权人。

 (b) [指定档案的担保权人的修正

 融资申明书规定担保权人或担保权人的代表的名称的，若其修正被登记，在该修正中指定的人是档案的担保权人。若一份修正在§9-514(b)下登记，在该修正中指定的人是档案的担保权人。

 (c) [删除档案的担保权人的修正

 删除此人的融资申明书的修正的登记之前，一个人保留档案的担保权人。

 

　　§ 9-512. AMENDMENT OF FINANCING STATEMENT. 融资申明书的修正.

　　[Alternative A]

　　（a） [Amendment of information in financing statement.]

　　Subject to Section 9-509, a person may add or delete collateral covered by, continue or terminate the effectiveness of, or, subject to subsection （e）, otherwise amend the information provided in, a financing statement by filing an amendment that:

　　（1） identifies, by its file number, the initial financing statement to which the amendment relates; and

　　（2） if the amendment relates to an initial financing statement filed [or recorded] in a filing office described in Section 9-501（a）（1）, provides the information specified in Section 9-502（b）.

　　[Alternative B]

　　（a） [Amendment of information in financing statement.]

　　Subject to Section 9-509, a person may add or delete collateral covered by, continue or terminate the effectiveness of, or, subject to subsection （e）, otherwise amend the information provided in, a financing statement by filing an amendment that:

　　（1） identifies, by its file number, the initial financing statement to which the amendment relates; and

　　（2） if the amendment relates to an initial financing statement filed [or recorded] in a filing office described in Section 9-501（a）（1）, provides the date [and time] that the initial financing statement was filed [or recorded] and the information specified in Section 9-502（b）.

　　[End of Alternatives]

　　（b） [Period of effectiveness not affected.]

　　Except as otherwise provided in Section 9-515, the filing of an amendment does not extend the period of effectiveness of the financing statement.

　　（c） [Effectiveness of amendment adding collateral.]

　　A financing statement that is amended by an amendment that adds collateral is effective as to the added collateral only from the date of the filing of the amendment.

　　（d） [Effectiveness of amendment adding debtor.]

　　A financing statement that is amended by an amendment that adds a debtor is effective as to the added debtor only from the date of the filing of the amendment.

　　（e） [Certain amendments ineffective.]

　　An amendment is ineffective to the extent it:

　　（1） purports to delete all debtors and fails to provide the name of a debtor to be covered by the financing statement; or

　　（2） purports to delete all secured parties of record and fails to provide the name of a new secured party of record.

Legislative Note:

[选项

(a) [融资申明书中信息的修正

 受§9-509影响，一个人可以添加或删除融资申明书包含的担保物，延续或终止融资申明书的效力，或者，受(e)款影响，其他方式修正融资申明书规定的信息，通过登记一份修正，该修正：

 (1) 按其档案编号，确定该修正涉及的初始的融资申明书；及

 (2) 若该修正涉及登记[或记录]在§9-501(a)(1)规定的档案处的一份初始的融资申明书规定§9-502(b)指定的信息。

 [选项

 (a) [融资申明书中信息的修正

 受§9-509影响，一个人可以添加或删除融资申明书包含的担保物，延续或终止融资申明书的效力，或者，受(e)款影响，其他方式修正融资申明书规定的信息，通过登记一份修正，该修正：

 (1) 按其档案编号，确定该修正涉及的初始的融资申明书；及

 (2) 若该修正涉及登记[或记录]在§9-501(a)(1)规定的档案处的一份初始的融资申明书规定初始的融资申明书被登记[或记录]的日期[和时间]，以及§9-502(b)指定的信息。

 [选项结束

 (b) [不受影响的效力期间

 除非另有规定§9-515，一份修正的登记不延展融资申明书的效力期间。

 (c) [添加担保物的修正的效力

 添加担保物的一份修正书修正的融资申明书，仅从该修正书的登记日期起对被添加的担保物有效。

 (d) [添加债务人的修正的效力

 添加债务人的一份修正书修正的融资申明书，仅从该修正书的登记日期起对被添加的债务人有效

 (e) [一定的修正无效

 一份修正书在下述范围内无效，其：

 (1) 声称删除所有债务人并未能规定债务人的名称将由融资申明书包含；或

 (2) 声称删除所有档案的担保权人并未能规定档案的新担保权人的名称。

　　§ 9-513. TERMINATION STATEMENT. 终止申明书.

　　（a） [Consumer goods.]

　　A secured party shall cause the secured party of record for a financing statement to file a termination statement for the financing statement if the financing statement covers consumer goods and:

　　（1） there is no obligation secured by the collateral covered by the financing statement and no commitment to make an advance, incur an obligation, or otherwise give value; or

　　（2） the debtor did not authorize the filing of the initial financing statement.

　　（b） [Time for compliance with subsection （a）.]

　　To comply with subsection （a）, a secured party shall cause the secured party of record to file the termination statement:

　　（1） within one month after there is no obligation secured by the collateral covered by the financing statement and no commitment to make an advance, incur an obligation, or otherwise give value; or

　　（2） if earlier, within 20 days after the secured party receives an authenticated demand from a debtor.

　　（c） [Other collateral.]

　　In cases not governed by subsection （a）, within 20 days after a secured party receives an authenticated demand from a debtor, the secured party shall cause the secured party of record for a financing statement to send to the debtor a termination statement for the financing statement or file the termination statement in the filing office if:

　　（1） except in the case of a financing statement covering accounts or chattel paper that has been sold or goods that are the subject of a consignment, there is no obligation secured by the collateral covered by the financing statement and no commitment to make an advance, incur an obligation, or otherwise give value;

　　（2） the financing statement covers accounts or chattel paper that has been sold but as to which the account debtor or other person obligated has discharged its obligation;

　　（3） the financing statement covers goods that were the subject of a consignment to the debtor but are not in the debtor's possession; or

　　（4） the debtor did not authorize the filing of the initial financing statement.

　　（d） [Effect of filing termination statement.]

Except as otherwise provided in Section 9-510, upon the filing of a termination statement with the filing office, the financing statement to which the termination statement relates ceases to be effective.

(a) [消费者货物

担保权人应当促使档案或融资申明书的担保权人登记对于融资申明书的终止申明书，若融资申明书包含消费者货物并且：

(1) 不存在融资申明书包含的担保物担保的债务，没有作出预付款的承诺，招致一项债务，或其他方式给予对价；或

(2) 债务人未批准初始的融资申明书的登记。

(b) [遵照(a)款的时间

遵照(a)款，担保权人应当促使档案的担保权人登记终止申明书：

(1) 不存在融资申明书包含的担保物担保的债务，没有作出预付款的承诺，招致一项债务，或其他方式给予对价之后一个月内；或

(2) 若更早，在担保权人从债务人收到一份经鉴别的请求之后20日内。

 (c) [其他担保物

在非由(a)款调整的情形，担保权人收到债务人的经验证的请求之后20日内，担保权人应当促成融资申明书登记的担保权人发送对融资申明书的终止申明书给债务人或在档案处登记该终止申明书，若：

(1) 充分在包含已经被出售的应收账款或担保债权凭证、或作为寄售的标的物的货物的融资申明书的情形，该融资申明书包含的担保物没有担保债务，并且，没有作出预付款的承诺，引起一项债务，或以其他方式给予对价；

(2) 融资申明书包含已经被出售的应收账款或担保债权凭证，但是关于其，应收账款债务人或负有义务的其他人已经清偿其债务；

(3) 融资申明书包含作为寄售给债务人的标的物、但债务人不占有的货物；或

(4) 债务人未批准初始的融资申明书的登记。

(d) [登记终止申明书的效力

除非§9-510另有规定，在档案处终止申明书的登记，终止申明书涉及的融资申明书终止效力。除非§9-510另有规定，为§9-519(g)、9-522(a)和9-523(c)的目的，涉及指出债务人是传输事业公司的融资申明书的终止申明书在档案处的登记，也促成融资申明书失效。

 

§ 9-514. ASSIGNMENT OF POWERS OF SECURED PARTY OF RECORD.

档案的担保权人的转让权.

 

　　（a） [Assignment reflected on initial financing statement.]

　　Except as otherwise provided in subsection （c）, an initial financing statement may reflect an assignment of all of the secured party's power to authorize an amendment to the financing statement by providing the name and mailing address of the assignee as the name and address of the secured party.

　　（b） [Assignment of filed financing statement.]

　　Except as otherwise provided in subsection （c）, a secured party of record may assign of record all or part of its power to authorize an amendment to a financing statement by filing in the filing office an amendment of the financing statement which:

　　（1） identifies, by its file number, the initial financing statement to which it relates;

　　（2） provides the name of the assignor; and

　　（3） provides the name and mailing address of the assignee.

　　（c） [Assignment of record of mortgage.]

An assignment of record of a security interest in a fixture covered by a record of a mortgage which is effective as a financing statement filed as a fixture filing under Section 9-502（c） may be made only by an assignment of record of the mortgage in the manner provided by law of this State other than [the Uniform Commercial Code].

(a) [初始的融资申明书上证明的转让

除非(c)款另有规定，通过规定受让人的名称和邮发地址作为担保权人的名称和邮发地址，初始的融资申明书可以证明所有担保权人的对融资申明书的修正的批准权的转让。

(b) [已登记的融资申明书的转让

除非(c)款另有规定，档案的担保权人可以转让其全部或部分批准对融资申明书的修正的权力，通过在档案处登记融资申明书的修正书，其：

(1) 按其档案编号，确定其涉及的初始的融资申明书；

(2) 规定让与人的名称；及

(3) 规定受让人的名称和邮发地址。

(c) [抵押档案的转让

抵押档案包含的固定设备中的担保权益的档案的转让为有效，当作为在§9-502(c)下的固定设备登记而登记的融资申明书可以被作出仅通过抵押档案的转让，以除[《统一商法典》]外的本州法律规定的方式。

 

§ 9-515. DURATION AND EFFECTIVENESS OF FINANCING STATEMENT; EFFECT OF LAPSED FINANCING STATEMENT.

　　融资申明书的持续时间和效力;已终止的融资申明书之效力.

（a） [Five-year effectiveness.]

　　Except as otherwise provided in subsections （b）, （e）, （f）, and （g）, a filed financing statement is effective for a period of five years after the date of filing.

　　（b） [Public-finance or manufactured-home transaction.]

　　Except as otherwise provided in subsections （e）, （f）, and （g）, an initial financing statement filed in connection with a public-finance transaction or manufactured-home transaction is effective for a period of 30 years after the date of filing if it indicates that it is filed in connection with a public-finance transaction or manufactured-home transaction.

　　（c） [Lapse and continuation of financing statement.]

　　The effectiveness of a filed financing statement lapses on the expiration of the period of its effectiveness unless before the lapse a continuation statement is filed pursuant to subsection （d）. Upon lapse, a financing statement ceases to be effective and any security interest or agricultural lien that was perfected by the financing statement becomes unperfected, unless the security interest is perfected otherwise. If the security interest or agricultural lien becomes unperfected upon lapse, it is deemed never to have been perfected as against a purchaser of the collateral for value.

　　（d） [When continuation statement may be filed.]

　　A continuation statement may be filed only within six months before the expiration of the five-year period specified in subsection （a） or the 30-year period specified in subsection （b）, whichever is applicable.

　　（e） [Effect of filing continuation statement.]

　　Except as otherwise provided in Section 9-510, upon timely filing of a continuation statement, the effectiveness of the initial financing statement continues for a period of five years commencing on the day on which the financing statement would have become ineffective in the absence of the filing. Upon the expiration of the five-year period, the financing statement lapses in the same manner as provided in subsection （c）, unless, before the lapse, another continuation statement is filed pursuant to subsection （d）. S统一商法典eeding continuation statements may be filed in the same manner to continue the effectiveness of the initial financing statement.

　　（f） [Transmitting utility financing statement.]

　　If a debtor is a transmitting utility and a filed financing statement so indicates, the financing statement is effective until a termination statement is filed.

　　（g） [Record of mortgage as financing statement.]

A record of a mortgage that is effective as a financing statement filed as a fixture filing under Section 9-502（c） remains effective as a financing statement filed as a fixture filing until the mortgage is released or satisfied of record or its effectiveness otherwise terminates as to the real property.

(a) [五年效力

除非(b)、(e)、(f)和(g)款另有规定，已登记的融资申明书在登记日之后五年内有效。

(b) [公共金融交易或人造住宅交易

除非(b)、(e)、(f)和(g)款另有规定，与公共金融交易或人造住宅交易有关的初始的融资申明书在登记日之后30年内有效，若其表明其登记与公共金融交易或人造住宅交易有关。

(c) [融资申明书的终止和延续

已登记的融资申明书的效力在其效力期间结束时终止，除非在该终止之前，延续申明书依照(d)款登记。 在终止时，融资申明书不再有效，并且，通过融资申明书完善的任何担保权益或农业留置权变为不完善，除非担保权益以其他方式完善。若担保权益或农业留置权在终止时变为不完善，则视为对于担保物的有偿买方从未完善。

(d) [何时延续申明书可以被登记

延续申明书可以被登记仅在(a)款指定的五年期间或(b)款指定的30年期间结束之前六个月内，无论哪一个适用。

(e) [登记延续申明书的效果

除非§9-510另有规定，在延续申明书及时登记时，初始的融资申明书的效力延续五年期间，从由于缺乏该登记，融资申明书将会已经变得无效之日起算。在该五年期间结束时，融资申明书以(c)款规定的同样方式终止，除非在该终止之前，其他延续申明书依照(d)款登记。随后的延续申明书可以以同样的方式登记，以延续初始的融资申明书的效力。

(f) [传输事业公司融资申明书

若债务人是传输事业公司和已登记的融资申明书如此表明，融资申明书在终止申明书登记之前有效。

(g) [作为融资申明书的抵押档案

作为登记为在§9-502(c)下的固定设备登记的融资申明书，抵押档案有效的，作为登记为固定设备登记的融资申明书，保持有效，在抵押被解除或被满足，或者对于不动产其效力以其他方式终止。