Compliance Updates April 11, 2017


  • Clarification made that MS12 – Gift Certificates are exempt only if there is no expiration date.


NAUPA file format changed from HDE to TXT.

North Carolina

Correction to dormancy for MS02 – Commissions. Correct dormancy is 1 year, not 2 years.


South Dakota

Email for holder questions changed to


  • Tennessee now requires the NAUPA report to be uploaded directly to their website. Once you have the HDE file, go to state website here to upload
  • Payment is now required to be done through ACH. If this would cause a significant hardship for your company, you must contact the state to fill out a waiver request so they will allow a physical check.


Vermont now participates in our online delivery option.


  • Corrected description for CK03. It should be ‘Registered Checks’, not ‘Uncashed Checks’
  • Updated payment information for ACH Debits and ACH Credits.

Danielle Herring

Product Manager, UPExchange

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