filing 作为英美法系的高频词汇,构词简洁,适用广泛。
application、registration、recordation、notification、complaint、lawsuit 的发起,都可以用 filing 来表述。
因此,filing 从某种意义上来讲,就是一种发起行为。按照字面意思理解,是指通过提交相关资料和信息,启动相关行政或司法程序,或者进入业务办理流程。
对于 filing 的含义,实务中视需要作灵活把握:
- 从其本意上出发,可以作“提交”、“提起”、“报备”、“呈报”、“呈交”理解;
- 从搭配词汇出发,可以作“申请”、“申报”、“登记”、“注册”、“备案”以及“起诉”理解。
filing 与 registration 和 recordation 的搭配情况,将在下文进行探讨,以期达到举一反三的效果。
filings
作为复数形式的 filings,不再是一个表述抽象行为的动名词,而是具体指各种提交的文件:
“Filings” means pleadings, motions, or other documents; “initial filings” means the pleading or other document which initiates an action.
(来源:http://uscourts.org)
filed
filing 强调行为的过程,filed 则用于表述这一行为过程的完成时点。
如何界定 filed 是一个技术问题,需要在具体语境下进行确定。
综合起来,可以分以下几种情况。
如果未作明确说明,filed 多指受理时点:
…argue that the trademark application was filed but not registered at the time he renewed the domain name.
(来源:http://wipo.int)
此类情况下的 filed ,实际上可以理解为“受理”。
也可以是所提交的材料和信息的收到时点:
“Filed” means the complete receipt of any document by an agency before its close of business.
(来源:http://acquisition.gov)
少数情况下甚至是交邮时点:
…an application for modification or rescission… is considered to be filed upon mailing.
(来源:http://law.cornell.edu)
registration/recordation
申请人提出 registration/recordation 申请,称为 filing。
registration 即“注册/登记/备案”;
recordation 一般作“备案”理解。
registration/recordation 的流程,可以分为两个阶段:
filing 是第一阶段;
registration/recordation 是第二个阶段。
filing 是前提;
registration/recordation 是结果。
…qualifying floating charge is executed prior to a notice of intention to appoint administrators being filed but not registered at Companies House…
(来源:http://thomsonreuters.com)
Upon reexamination, we now conclude that filing a NFTL means delivering it to the local recorder’s office and not the act of indexing it in the local records.
(来源:http://irs.gov)
习惯上,filing 在相关语境中也可与 registration/recordation 互换。
…so that both registration(‘filing‘) and searching can be done via the internet…
(来源:http://lawcom.gov.uk)
Under Article 9 of the Uniform Commercial Code, filing, i.e., recordation, is the most common method of perfecting…
(来源:Bankruptcy Lien Invalidation, by DG Epstein)
此时,registration/recordation 一般旨在表述包括这两个阶段的整个流程。
因此,用于“注册”、“登记”或“备案”的语境时,狭义上的 filing 可能作“申请”、“提交”理解;
广义上,也可能作“注册”、“登记”或“备案”理解。
-End-
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