Any business that owns or rents a space where a public auction occurs must have an Auction House (Premises) license. Only licensed Auctioneers may act as an Auctioneer at the Auction House.

This description is only a general explanation of which businesses need to have an Auction House (Premises) license.

Note: New York City businesses must comply with all relevant federal, state, and City laws and rules. All laws and rules of the City of New York, including the Consumer Protection Law and Rules, are accessible using the Public Access Portal. For convenience, sections of the New York City Licensing Law (and Rules, if enacted) are available as a downloadable handout.

Please note that businesses are responsible for knowing and complying with the most current laws, including any City Council amendments. The Department of Consumer Affairs (DCA) is not responsible for errors or omissions in the handout. The information is not legal advice. You can only obtain legal advice from a lawyer.

APPLICATION REQUIREMENTS: 

Before You File Your DCA License Application:
You must obtain the following required documents before filing your application. Although DCA does not require submission of these documents in order to process your application in person or online, DCA reserves the right to request and examine the documents under section 20.104 of the New York City Administrative Code.

• Applicable Business Certificates based on your Business's Legal Structure

Sole Proprietorships operating under a name other than your own must file a Business/Assumed Name Certificate with the clerk of the county in which your business is conducted.

Sole Proprietorships doing business under your own name—and not under a trade or Doing-Business-As (DBA) name—do not need a Business Certificate.

General/Business Partnerships must file your Partnership Certificate with the clerk of the county in which your business is conducted.

Corporations, Limited Partnerships, Limited Liability Companies, or Limited Liability Partnerships must register and remain active with the New York State Department of State. Active status will be verified by DCA prior to license issuance. You can confirm the status of your business entity at NYS Web site. If applicable, you must also file an Assumed Name Certificate for your business.

Businesses incorporated out of state must obtain a Certificate of Doing Business in Good Standing from your home state’s Secretary of State and file this with an application for Authority to Conduct Business in New York with the New York State Secretary of State.

When You File Your DCA License Application:
Below are requirements when filing your license application:

• Basic License Application   

NEW: Auction House applicants can now submit new license applications online. Applying for the license online does not mean the license is automatically approved. A major credit card is required to submit applications online. Service fees apply. After reviewing application requirements, please click the Apply Online link at the bottom of this Web page to submit your application online.

For in-person application submission, applicants can complete the Basic License Application online using a fillable PDF file, then print a bar-coded form for scanning into our system once you arrive at the Licensing Center. Learn more 

Note: If you prefer to complete your Basic License Application by hand, please download and print a non-bar-coded application form

• Sales Tax Identification Number
  This is the 9, 10, or 11-digit number on your New York State Department of Taxation and Finance Certificate of Authority. You must enter this number on the Basic License Application form. To obtain an application for a Certificate of Authority, visit the NYS Department of Taxation and Finance online or call toll-free (800) 698-2909. Allow four to six weeks after applying to the New York State Department of Taxation and Finance to receive your Certificate of Authority.

• Copy of your $2,000 Surety Bond (or Third Party Bond), properly signed
  The copy of the bond must name the Department of Consumer Affairs as the Certificate Holder. Your corporate name, Doing-Business-As (DBA) name (if any), and premises address must be exactly the same on all documents. You must also submit a copy of the bond receipt showing that the bond has been paid in full and does not expire before the end of the licensing period.
  
  Download a list of bonding companies (in PDF) 
  The companies listed have provided bonds for licensees, or have communicated to the Department of Consumer Affairs an interest in doing so. The list must not be considered a recommendation of any company, or a complete listing. All applicants are advised to investigate and compare these and other bonding companies. Some companies may provide only certain types of bonds. Companies are listed in alphabetical order.

• Child Support Certification Form (download)
  If your business is a SOLE PROPRIETORSHIP or GENERAL or LIMITED PARTNERSHIP, the proprietor or each individual general partner must submit a Child Support Certification Form. 
   
• Granting Authority to Act Form (download)
  If this application will be filed by someone other than the license applicant, the person filing the application must submit a Granting Authority to Act Form. 
   
• Fingerprints and Processing Fee
  All sole proprietors, general partners, directors, corporate officers, and all shareholders owning 10% or more of company stock must be fingerprinted at the Department of Consumer Affairs (DCA) Licensing Center. EXCEPTIONS: Any person who currently holds or has held within the past three years a DCA license that required fingerprinting does not need to be fingerprinted. Any person fingerprinted at the DCA Licensing Center within the past three years does not need to be fingerprinted. Each person who must be fingerprinted must visit the DCA Licensing Center, located at 42 Broadway, 5th Floor, in lower Manhattan, with photo identification (ID) and pay a $75 processing fee by check or money order, payable to NYC Department of Consumer Affairs. Acceptable forms of ID include:
  • driver’s license or non-driver’s license identification issued by a State Department of Motor Vehicles
  • license or permit issued by a government agency
  • passport
  • alien card/green card
  • a City, State, or Federal employee ID card

Your fingerprints will be checked for any criminal record that you may have. Note that a conviction will not necessarily prevent you from being granted a license. However, failure to reveal a conviction can constitute grounds for the denial of your application. 

• License Fee
  For in-person application submissions, the License Fee must be paid by credit card, money order, or check. Cards accepted include Visa, MasterCard, American Express, and Discover Card. Checks or money orders must be payable to NYC Department of Consumer Affairs. The chart below lists the amount due depending upon when your license application is filed. Note: An odd year is any year ending in an odd digit; for example, 2009, 2011, etc. An even year is any year ending in an even digit; for example, 2010, 2012, etc. 
  
  Please note that service fees apply if you submit your license application online. A major credit card is required to submit applications online.

APPLICATION FILING PROCESS: 

ONLINE SUBMISSION:
Please make sure that you have reviewed and recorded the information required to submit a license application online before clicking the button below. Note: After successfully filing the application form online, Auction House applicants must visit the DCA Licensing Center within five business days to be fingerprinted and to submit a copy of the $2,000 surety bond and bond receipt as outlined in the “When You File” section. Applicants should follow instructions on the printed confirmation page. Your license application will not be complete without these requirements.

You will be routed to the New York City Business Express Web site.

IN-PERSON SUBMISSION:
Applications may be filed in person at the DCA Licensing Center at the address above between 9:00 a.m. and 5:00 p.m. on Monday, Tuesday, Thursday and Friday, and from 9:00 a.m. to 5:30 p.m. on Wednesday.