New York City Auction License Laws

New York City Administrative Code
Title 20. Consumer Affairs
Chapter 2. Licenses
Subchapter 13. Auctioneers
Current through 2013 New York City Local Law 133 and 2013 New York Laws, Chapter 517
§ 20-278. License required

It shall be unlawful for any person to engage in the business of auctioneer without a license therefor.

Cite as N.Y.C. Admin. Code § 20-278

§ 20-279. Fee; bond; fingerprinting

a.     The annual fee for such license shall be two hundred dollars.
b.     Each applicant for such license shall file with the commissioner, a bond with two good sureties, in the penal sum of two thousand dollars, which bond shall meet with the approval of the commissioner.
c.     The commissioner shall require that applicants for licenses issued pursuant to this subchapter be fingerprinted for the purpose of securing criminal history records from the state division of criminal justice services. The applicant shall pay a processing fee as required by the state division of criminal justice services. Fingerprints shall be taken of the individual owner if the applicant is a sole proprietorship; the general partners if the applicant is a partnership; and the officers, principals, directors, and stockholders owning more than ten percent of the outstanding stock of the corporation if the applicant is a corporation. Any person required to be fingerprinted hereunder shall furnish to the department three current passport-size photographs of such person. Notwithstanding the foregoing, the commissioner need not require applicants for licenses required under this subchapter to be fingerprinted if criminal history records concerning such applicants are not available from the state division of criminal justice services.
Cite as N.Y.C. Admin. Code § 20-279

§ 20-279.1. Refusal to issue or renew, or suspension or revocation based on criminal conviction

In addition to any of the powers that may be exercised by the commissioner pursuant to this subchapter or chapter one of this title, the commissioner, after notice and an opportunity to be heard, may refuse to issue or renew, or may suspend or revoke, a license required under this subchapter if the applicant or licensee, or any of its principals, officers or directors, or any of its stockholders owning more than ten percent of the outstanding stock of the corporation has been convicted of a crime which, in the judgment of the commissioner, has a direct relationship to such person's fitness or ability to perform any of the activities for which a license is required under this subchapter or has been convicted of any other crime which, in accordance with article twenty-three-a of the correction law, would provide a justification for the commissioner to refuse to issue or renew, or to suspend or revoke, such license.

Cite as N.Y.C. Admin. Code § 20-279.1

§ 20-280. Requirements for auctioneers

Each auctioneer shall cause his or her name and license number to be conspicuously displayed at any place where he or she shall conduct an auction sale during such sale.

Cite as N.Y.C. Admin. Code § 20-280

§ 20-281. Persons acting as auctioneers

It shall be unlawful for any person not licensed as an auctioneer to represent or circulate or place before the public any announcement, or to insert or cause to be inserted in any city, business or telephone directory, any notice that he or she is conducting the business of auctioneering.

Cite as N.Y.C. Admin. Code § 20-281

§ 20-282. Advertising

Every auctioneer in his or her own name, shall give notice in one or more of the public newspapers printed in the city, of every auction sale to be conducted by him or her. In the event that such auctioneer shall be connected with any firm or other person his or her name shall in all cases precede the name of such firm or other person.

Cite as N.Y.C. Admin. Code § 20-282

§ 20-284. Sale of jewelry

a.     Each auctioneer shall cause to be delivered to the purchaser of diamonds, precious stones or other jewelry, a signed document containing a description of the article sold and the representations made in regard thereto at the time of the sale.
b.     Each article of jewelry sold at public auction shall have affixed thereto a tag, on which shall be printed or written a correct description of such article.
Cite as N.Y.C. Admin. Code § 20-284

§ 20-285. Restrictions

a.     It shall be unlawful for any auctioneer, his or her agent, employee or servant to sell at public auction or expose for such sale:
1.     Any dry-goods, clothing, hardware, household furniture, woodenware or tinware by retail or in small parcels or pieces, in any street or public place;
2.     Any goods, wares, merchandise or other things to any person who, at the time of bidding for or while examining such articles, shall be on any street;
3.     Any goods, wares, merchandise or other things in any street or public place, or place them thereon, unless he or she first shall obtain the consent or permission, in writing, of the occupant of the lot or building before which such articles or any part thereof shall be placed or exposed for sale.
b.     It shall be unlawful to employ any means of attracting the attention of purchasers, other than a sign or flag, at or near any place of sale, auction room, residence of any auctioneer, or at or near any auction whatsoever.
c.     Every article sold or exposed for sale at public auction, in any street or public place, shall be removed therefrom by sunset on the day of such sale or display.
Cite as N.Y.C. Admin. Code § 20-285

§ 20-286. Sale of real property; fees

a.     It shall be unlawful for any auctioneer to demand or receive for his or her services, in selling, at public auction, any real estate directed to be sold by any judgment or decree of any court of this state, a greater fee than fifty dollars for each parcel separately sold, except that in all sales of real estate conducted by any auctioneer pursuant to a judgment or decree of any court of this state in any action brought to foreclose a mortgage or other lien on real estate, the fees of such auctioneers shall be as follows:
1.     in all cases where the judgment of foreclosure is for an amount not exceeding five thousand dollars, the fee shall be fifteen dollars;
2.     in all cases where the judgment of foreclosure is for an amount in excess of five thousand dollars, but not exceeding twenty-five thousand dollars, the fee shall be twenty-five dollars;
3.     in all cases where the judgment of foreclosure is for an amount in excess of twenty-five thousand dollars, the fee shall be fifty dollars.
b.     Where such sale is made at any public salesroom, such auctioneer may demand and receive such further amount not exceeding ten dollars for each parcel separately sold as he or she may have actually paid for the privilege or right of making the sale in such salesroom.
c.     Where one or more lots are so sold at public auction with the option to the purchaser of taking one or more additional lots at the same rates or price, nothing herein contained shall be construed to prevent the auctioneer making such sale from demanding and receiving for his or her services the compensation or fee above allowed, for each additional lot taken by such purchaser under such option.
Cite as N.Y.C. Admin. Code § 20-286

§ 20-287. Split fees

It shall be unlawful for any auctioneer, either directly or indirectly, to allow or pay to the receiver, referee, sheriff, or other officer under whose direction a sale is made, pursuant to section 20-286 of this subchapter or to any of the attorneys in the action or proceeding from which such sale arises, any portion of his or her fee or compensation.

Cite as N.Y.C. Admin. Code § 20-287

§ 20-288. False or fraudulent representations

Any auctioneer who shall have knowledge of any false or fraudulent representations or statements or who makes or causes any such statements to be made in respect to the character of any sale, or the party authorizing the same, or the quality, condition, ownership, situation, or value of any property, real or personal, exposed, put up, or offered by him or her for sale at public auction, shall be deemed guilty of a misdemeanor, and, upon conviction thereof, shall be punished by imprisonment not exceeding one year or by a fine not exceeding one thousand dollars.

Cite as N.Y.C. Admin. Code § 20-288

§ 20-289. Complaints

a.     The commissioner may take testimony, under oath, relating to and upon the complaint of any person who claims he or she has been defrauded by any auctioneer, his or her clerk, agent or assignee, or relating to and upon the complaint of any person who has consigned real or personal property for sale and to whom such auctioneer shall not have accounted fully. The license of each such auctioneer may be revoked and his or her bond declared forfeited if, in the opinion of the commissioner, such charge is sustained. Any such person whose license has been revoked for cause shall not be granted another such license.
b.     The commissioner may take testimony, under oath, relating to and upon the complaint of any person who claims that any auctioneer, his or her clerk, agent or assignee, has been guilty of misconduct relating to the business transacted under such auctioneer's license, and if such charge, in his or her opinion, shall be sustained, the commissioner may suspend such license for a period not to exceed six months.
Cite as N.Y.C. Admin. Code § 20-289

§ 20-290. Marshals exempt

Nothing in this subchapter shall apply to a duly appointed marshal, who, by virtue of his or her office sells real or personal property, levied upon by him or her under legal process.

Cite as N.Y.C. Admin. Code § 20-290