2309.3(D) Limiting the Innocent Infringer Defense
Recording a transfer of ownership with the Office may limit a defendant's ability to assert an innocent infringement defense in a copyright infringement action involving a work published before March 1, 1989.
If the person named in the notice is not the copyright owner, the defendant may assert a defense in an infringement action by proving that he or she was misled by the notice and that he or she used the work in good faith based on a purported transfer or license from the person named in that notice. However, the innocent infringement defense does not apply (i) if the work was registered in the name of the copyright owner before the infringement began, or (ii) if a document executed by the person named in the notice and showing the ownership of the copyright was recorded before the infringement began.
17 U.S.C.§ 406(a).
2309.3(E) Perfection of Security Interests
Some courts have held that a security interest in a registered work must be recorded with the U.S. Copyright Office in order to perfect the creditor's interest. In order to perfect the creditor's interest in an unregistered work, some courts have held that the interest must be recorded under a state law version of Article 9 of the Uniform Commercial Code. See, e.g., Aerocon Engineering, Inc. v. Silicon Valley Bank (In re World Auxiliary Power Co.), 303 F.3d 1120 (9th Cir. 2002); Morgan Creek Productions, Inc. v. Franchise Pictures LLC [In re Franchise Pictures LLC], 389 B.R. 131 (Bankr. CD. Cal. 2008).
A security interest in a registered or unregistered work may be recorded with the U.S. Copyright Office by following the practices and procedures described in Sections 2309.1 through 2309.13 concerning the recordation of transfers of ownership or other documents pertaining to copyright.
2309.4 Who May Record a Transfer or Other Document Pertaining to Copyright?
Any person may record a transfer or other document pertaining to copyright, provided that he or she complies with the recordation requirements set forth in Sections 2309.7 through 2309.11. The person who submits a document for recordation is known as the "remitter."
2309.5 When May a Transfer or Other Document Pertaining to Copyright Be Recorded?
A transfer or other document pertaining to copyright may be recorded at any time.
2309.6 How to Record a Transfer or Other Document Pertaining to Copyright
To record a transfer or other document pertaining to copyright, the remitter should submit a signed, complete, and legible copy of the document to the following address together with the appropriate filing fee:
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