N.Y. Comp. Codes R. & Regs. Tit. 2§ 15.1 - Books and records to be maintained by collateral loan brokers

Each and every collateral loan broker is required to keep and maintain the following books, records and reports:

(a) pledgor's registration card;

(b) pledge ticket;

(c) pledge book;

(d) redemption book;

(e) auction sales book;

(f) report of auction sale to licensing body;

(g) surplus book;

(h) notice to pledgor--six months after date of pledge;

(i) pledgor's request that his pledge be held for one year (New York City only);

(j) notice to pledgor one year after date of pledge;

(k) notice to pledgor of existing surplus from auction sale;

(l) receipt from pledgor for surplus;

(m) abandoned property surplus reports to State Comptroller;

(n) collateral loan broker's registration statement; and

(o) collateral loan broker's supplemental registration statement.

Notes

N.Y. Comp. Codes R. & Regs. Tit. 2§ 15.1