Sec. 15.2. Information to be contained in books and records

Each and every collateral loan broker is required to keep and maintain the books, records and reports as listed below. Each book, record and report is to contain the information as hereinafter indicated.

PLEDGE BOOK

Date of pledge

Pledge number	Date	R	A or S
Disposition column	(Renewed)	(Renewed)	(Auction Sale)

Article pledged

Amount of loan

Pledgor's name and address

REDEMPTION BOOK

Redemption date

Pledge number

Date of pledge

Amount of loan

Interest charges

Extra care charges

All money columns should be footed.

Obtain affidavit from pledgor for lost pledge ticket.

AUCTION SALES BOOK

Auction sale date

Pledge number

Description of article

Auction sale lot number

Amount of loan

Selling price to outsiders

Selling price to collateral loan broker (purchase backs)

Note:

All stock merchandise submitted for auction sale should be distinctly marked as such.

SURPLUS BOOK

Auction sale date

Auction lot number

Pledge number

Description of article

Name and address of pledgor

Amount of loan

Interest charges

Extra care charges

Auctioneer's commission

Total (loan, interest and charges)

Auction selling price

Surplus:

(a) to pledgor

(b) to State Comptroller

(c) date paid

All money columns should be footed.

Obtain signed receipt from pledgor for surplus.

It is recommended that where surplus refunds are made to pledgors by mail, the original pledge ticket together with a signed receipt for the surplus should be stapled together and retained for auditing purposes.