2010 New York Code
ABP - Abandoned Property
Article 5-A - (510 - 514) UNCLAIMED PROPERTY HELD BY BROKERS
513 - Report to accompany payment or delivery.

§  513. Report to accompany payment or delivery. A payment or delivery
  pursuant to section five  hundred  twelve  shall  be  accompanied  by  a
  verified  written  report,  in  such  form  as the state comptroller may
  prescribe, setting forth:
    1. With reference to  any  amount  specified  in  subdivision  one  of
  section five hundred eleven,
    (a) A description of the security,
    (b)  The  number  of  shares  represented  or  the  face amount of the
  security,
    (c) The date the dividend or interest was payable, and
    (d) Such other information as the state comptroller may require.
    2. With reference to  any  amount  specified  in  subdivision  two  of
  section five hundred eleven,
    (a)  The name and last known address, if any, of the customer entitled
  to such amount,
    (b) The date of the last entry, other than the credit of  interest  or
  dividends, in the account in which such amount is reflected, recorded or
  included, and
    (c) Such other information as the state comptroller may require.
    3.  With  reference  to any security specified in subdivision three or
  four of section five hundred eleven,
    (a) A description of the abandoned security,
    (b) The number of  shares  represented  or  the  face  amount  of  the
  security,
    (c)  The  name and last known address, if any, of the person appearing
  to be entitled to such abandoned property, and
    (d) Such other information as the state comptroller may require.
    4. In case any broker or dealer  shall  on  the  thirty-first  day  of
  December  in  any  year  neither  hold  nor  owe  any abandoned property
  specified in section five hundred eleven, such broker or dealer shall on
  or before the tenth day of March next succeeding make a verified written
  report to the State Comptroller so stating.
    5. In case any broker or dealer determines the property which shall be
  deemed abandoned property pursuant to  subdivisions  one  and  three  of
  section five hundred eleven by the method provided in subdivision six of
  that   section,   the  payment  of  such  abandoned  property  shall  be
  accompanied by a verified written report, in  such  form  as  the  state
  comptroller  may  prescribe,  which, among other things, shall set forth
  the computation of the average factor of such broker or dealer  pursuant
  to subdivision six of section five hundred eleven. Each verified written
  report   accompanying  the  payment  of  abandoned  property  determined
  pursuant to subdivision six of section five hundred eleven shall contain
  an undertaking by the broker or dealer making such payment to honor  all
  claims  to  the extent herein provided whenever made against such broker
  or dealer by any person determined by him or proved to  be  entitled  to
  receive  from him a stock or cash dividend received in this state during
  the calendar year covered by such report as the holder of  record  of  a
  security  or  an  interest  payment on a security received in this state
  during such year. Such undertaking shall obligate the broker  or  dealer
  to  honor any such claim provided that the payment of abandoned property
  relating to the year in question determined pursuant to subdivision  six
  of  section  five  hundred  eleven  made by such broker or dealer to the
  state comptroller has been exhausted as a result  of  reimbursements  by
  the  state  comptroller  to  the  broker  or  dealer or to other persons
  claiming such abandoned property  as  provided  in  subdivision  two  of
  section  five  hundred  fourteen.  To  the  extent  related to any stock
  dividend, any such claim shall not exceed the fair market value of  such

stock  dividend on the thirty-first day of December of the year in which
  such stock dividend was deemed abandoned property.