N.Y. RPP Law § 441 — New York Code / Act RPP / Article 12-A / Section 441
Application for license
Status: in_force

§ 441. Application for license. 1. Form. (a) Any person,\ncopartnership, limited liability company or corporation desiring to act\nas a real estate broker or any person desiring to act as a real estate\nsalesperson on or after the first day of October, nineteen hundred\ntwenty-two, shall file with the department of state at its office in\nAlbany an application for the kind of license desired, in such form and\ndetail as such department shall prescribe and conforming to the\nrequirements of section 3-503 of the general obligations law, setting\nforth the following, if the application be for a broker's license:\n  (i) The name and residence address of the applicant, and if an\nindividual the name under which they intend to conduct business.\n  (ii) If the applicant be a copartnership the name and residence\naddress of each member thereof and the name under which the business is\nto be conducted; or, if the applicant be a limited liability company,\nthe name of the company, and the name and residence of each of its\nmembers; or, if the applicant be a corporation, the name of the\ncorporation and the name and residence address of each of its officers.\n  (iii) The place or places, including the city, town or village, with\nthe street and number, where the business is to be conducted.\n  (iv) The business or occupation theretofore engaged in by the\napplicant, or, if a copartnership, by each member thereof, or, if a\nlimited liability company, by each member thereof, or, if a corporation,\nby each officer thereof, for a period of two years, immediately\npreceding the date of such application, setting forth the place or\nplaces where such business or occupation was engaged in and the name or\nnames of employers, if any.\n  (v) The form, information and statement required by section 3-503 of\nthe general obligations law.\n  (b) Such further information as the department may reasonably require\nshall be furnished by the applicant including sufficient proof of having\ntaken and passed a written examination and answered such questions as\nmay be prepared by the department to enable it to determine the\ntrustworthiness of the applicant if an individual, or of each member of\na co-partnership or each member of a limited liability company or each\nofficer of a corporation for whom a license as a broker is asked, and\ntheir competency to transact the business of real estate broker in such\na manner as to safeguard the interests of the public. In determining\ncompetency, the department shall require proof that the person being\ntested to qualify to apply for a broker's license has a fair knowledge\nof the English language, a fair understanding of the general purposes\nand general legal effect of deeds, mortgages, land contracts of sale,\nand leases, a general and fair understanding of the obligations between\nprincipal and agent, has taken a class on cultural competency training,\na general and fair understanding of the laws, rules and regulations\npertaining to fair housing and discrimination in the sale or rental of\nreal property or an interest in real property, as well as of the\nprovisions of this section. The applicant must also furnish proof that\nthey have attended for at least one hundred fifty-two hours and has\nsuccessfully completed a real estate course or courses approved by the\nsecretary of state as to method and content and supervision which\napproval may be withdrawn if in the opinion of the secretary of state\nsaid course or courses are not being conducted properly as to method,\ncontent and supervision, and that either the applicant has actively\nparticipated in the general real estate brokerage business as a licensed\nreal estate salesperson under the supervision of a licensed real estate\nbroker for a period of not less than two years or has had the equivalent\nexperience in general real estate business for a period of at least\nthree years, the nature of which experience shall be established by\naffidavit duly sworn to under oath and/or other and further proof\nrequired by the department of state. Computer-based and\ndistance-learning courses may be approved by the department so long as\nproviders demonstrate the ability to monitor and verify participation by\nthe applicant for the specified time period. Notwithstanding the\nforegoing authority to approve computer-based and distance-learning\ncourses, the department may prescribe that specified subjects or hours\nmust be presented in a classroom setting. For purposes of this section,\ncultural competency is defined as understanding cultural norms,\npreferences and challenges within our diverse communities.\n  (c) In the event the applicant shall be a licensed salesperson under\nthis article and shall have submitted acceptable proof pursuant to the\nprovisions of either paragraph (d) of subdivision one-A of this section\nor paragraph (a) of subdivision three of this section of having attended\nand successfully completed seventy-seven hours of an approved real\nestate course or courses, six hours of which have been focused on fair\nhousing and discrimination in the sale or rental of real property or an\ninterest in real property, within eight years of the date of the\napplication, the department may accept and credit same against the one\nhundred fifty-two hours required hereunder.\n  (d) The one hundred fifty-two hours of an approved real estate course\nor courses required by paragraph (b) of this subdivision shall include\ninstruction on fair housing and discrimination in the sale or rental of\nreal property or an interest in real property as described in paragraph\n(e) of subdivision three of this section and instruction on the licensed\nreal estate broker's responsibility for ensuring that each licensed real\nestate salesman under such broker's supervision is in compliance with\nhis or her obligations under applicable federal, state, and local laws,\nrules, and regulations pertaining to fair housing and discrimination in\nthe sale or rental of real property or an interest in real property.\n  1-A. (a) Every application for a real estate salesperson's license\nshall set forth:\n  (i) The name and residence address of the applicant.\n  (ii) The name and principal business address of the broker with whom\nthey are to be associated.\n  (iii) The business or occupation engaged in for the two years\nimmediately preceding the date of the application, setting forth the\nplace or places where such business or occupation was engaged in, and\nthe name or names of employers if any.\n  (iv) The length of time they have been engaged in the real estate\nbusiness.\n  (v) The form, information and statement required by section 3-503 of\nthe general obligations law.\n  (b) Each applicant for a salesperson's license shall provide such\nfurther information as the department may reasonably require, appearing\nat such time and place as may be designated by the department, to take a\nwritten examination and answer such questions as may be prepared by the\ndepartment to enable it to determine the trustworthiness of the\napplicant and the applicant's competence to transact the business of\nreal estate salesperson in such a manner as to safeguard the interests\nof the public, including the applicant's working knowledge of the basic\nconcepts of law pertaining to contracts, real property, agency and this\narticle which govern conduct of such business, knowledge of laws, rules,\nand regulations pertaining to fair housing and discrimination in the\nsale or rental of real property or an interest in real property, mastery\nof basic skills needed to perform the applicant's duties, working\nknowledge of the ethical obligations of a real estate salesperson, and\nknowledge of the provisions of the general obligations law pertaining to\nperformance of the applicant's duties.\n  (c) Each application for either a broker's or salesperson's license\nunder this article shall be subscribed by the applicant; or if made by a\nco-partnership it shall be subscribed by a member thereof, or if made by\na corporation it shall be subscribed by an officer thereof, and shall\nconform to the requirements of section 3-503 of the general obligations\nlaw. Each application shall contain an affirmation by the person so\nsubscribing that the statements therein are true under the penalties of\nperjury. An application for a license shall be accompanied by the\nappropriate license fee, as hereinafter prescribed in this article.\n  (d) Anything to the contrary herein notwithstanding, on and after the\neffective date of this paragraph, no salesperson's license or\nconditional license shall be issued by the department unless the\napplication therefor has been accompanied by proof that prior to such\napplication the applicant has attended at least seventy-seven hours and\nsuccessfully completed a real estate course or courses approved by the\nsecretary of state as to method and content and supervision, which\napproval may be withdrawn if in the opinion of the secretary of state\nsaid course or courses are not properly conducted as to method, content\nand supervision. Computer-based and distance-learning courses may be\napproved by the department so long as providers demonstrate the ability\nto monitor and verify participation by the applicant for the specified\ntime period. Notwithstanding the foregoing authority to approve\ncomputer-based and distance-learning courses, the department may\nprescribe that specified subjects or hours must be presented in a\nclassroom setting.\n  2. Renewals. Any license granted under the provision hereof may be\nrenewed by the department upon application therefor by the holder\nthereof, in such form as the department may prescribe and conforming to\nthe requirements of section 3-503 of the general obligations law, and\npayment of the fee for such license. In case of application for renewal\nof license, the department may dispense with the requirement of such\nstatements as it deems unnecessary in view of those contained in the\noriginal application for license but may not dispense with the\nrequirements of section 3-503 of the general obligations law. A renewal\nperiod within the meaning of this act is considered as being a period of\ntwo years from the date of expiration of a previously issued license.\nThe department shall require any applicant, who does not apply for\nrenewal of license within such period, to qualify by passing the written\nexamination as provided herein, and may require any licensee who has not\nyet passed the written examination, and who cannot reasonably prove to\nthe satisfaction of the department, that he can meet the competency\nrequirements, to pass the written examination before a renewal of\nlicense shall be granted; provided, however, that a person who failed or\nwas unable to renew his license by reason of his induction or enlistment\nin the armed forces of the United States shall not be required to take\nor pass such examination.\n  3. (a) No renewal license shall be issued any licensee under this\narticle for any license period commencing November first, nineteen\nhundred ninety-five unless such licensee shall have within the two year\nperiod immediately preceding such renewal attended at least twenty-two\nand one-half hours which shall include at least two hours of cultural\ncompetency training, at least three hours of instruction pertaining to\nfair housing and/or discrimination in the sale or rental of real\nproperty or an interest in real property, at least two hours of\ninstruction pertaining to implicit bias awareness and understanding, at\nleast two and one-half hours of instruction pertaining to ethical\nbusiness practices, at least one hour of instruction pertaining to\nrecent legal matters governing the practice of real estate brokers and\nsalespersons in New York which may include statutes, laws, regulations,\nrules, codes, department of state opinions and decisions, and court\ndecisions and at least one hour of instruction pertaining to the law of\nagency except in the case of the initial two-year licensing term for\nreal estate salespersons, two hours of agency related instruction must\nbe completed, and successfully completed a continuing education real\nestate course or courses approved by the secretary of state as to\nmethod, content and supervision, which approval may be withdrawn if in\nthe opinion of the secretary of state such course or courses are not\nbeing conducted properly as to method, content and supervision. For\nthose individuals licensed pursuant to subdivision six of section four\nhundred forty-two-g of this article, in the individual's initial license\nterm, at least eleven hours of the required twenty-two and one-half\nhours of continuing education shall be completed during the first year\nof the term. Of those eleven hours, three hours shall pertain to\napplicable New York state statutes and regulations governing the\npractice of real estate brokers and salespersons. To establish\ncompliance with the continuing education requirements imposed by this\nsection, licensees shall provide an affidavit, in a form acceptable to\nthe department of state, establishing the nature of the continuing\neducation acquired and shall provide such further proof as required by\nthe department of state.  For purposes of this subdivision, "implicit\nbias" shall mean the attitudes or stereotypes that affect an\nindividual's understanding, actions and decisions in an unconscious\nmanner.\n  (b) Notwithstanding the provisions of section four hundred one of the\nstate administrative procedure act, except as provided in this\nparagraph, no license issued under this article shall continue in effect\nbeyond the period for which it is issued if the proof of attendance\nrequired hereunder is not submitted and accepted prior to such\nexpiration date. The department in its discretion may however issue a\ntemporary renewal license for such period of time it deems appropriate\nto permit the submission of the required proof of attendance when the\nfailure to submit such proof is not due to the fault of the licensee.\n  (c) (i) The secretary of state shall promulgate rules establishing the\nmethod, content, setting and supervision requirements of the continuing\neducation real estate course or courses provided for in this section. In\nestablishing the requirements for the continuing education course or\ncourses, the secretary of state shall permit alternatives with respect\nto content and method of presentation in consideration of the type of\nbrokerage practiced and the availability of the sources of such course\nor courses in different areas of the state. Each course shall have an\nestablished curriculum composed primarily of real estate practice and\nprofessional responsibility and ethics and properly prepared written\nmaterials of the subject matter which shall be distributed as part of\nthe course. It shall be taught by a qualified faculty with attorneys\npresenting legal subjects. Credit shall be awarded on the basis of one\nhour for each sixty minutes of actual attendance and records shall be\nmaintained of attendance at each session which shall be transmitted to\nthe department at the conclusion of the course. Computer-based and\ndistance learning courses may be approved by the department so long as\nproviders demonstrate the ability to monitor and verify participation by\nthe licensee for the specified time period.\n  (ii) The secretary of state shall require approved faculty to sign and\naffirm, under penalty of perjury, a document, approved by and submitted\nelectronically to the department of state, attesting to compliance with\nall applicable statutory and regulatory requirements pertaining to the\ninstruction of the established curriculum. The secretary of state shall\npromulgate penalties for faculty that fail to meet the obligations\nrequired under this section and department of state regulations\nincluding, but not limited to, the temporary suspension of their\ninstructor certificate for the first such failure and the revocation of\ntheir instructor certificate for any subsequent failure.\n  (d) The state real estate board, created pursuant to section four\nhundred forty-two-i of this article, shall not have the power to\npromulgate any rule, regulation or guidance requiring continuing\neducation for real estate brokers or salespeople except those\nrequirements set forth in subdivisions two and three of section four\nhundred forty-two-k of this article.\n  (e) The secretary of state shall, upon notice and a public hearing,\npromulgate rules establishing the content of the instruction pertaining\nto fair housing and/or discrimination in the sale or rental of real\nproperty or an interest in real property required by paragraph (a) of\nthis subdivision. Such instruction shall include, but not be limited to,\ncourses on: (1) the legacy of segregation, unequal treatment, and\nhistoric lack of access to opportunity in housing; (2) unequal access to\namenities and resources on the basis of race, disability, and other\nprotected characteristics; (3) federal, state, and local fair housing\nlaws; and (4) anti-bias training.\n  4. The fees provided for by this section shall not be refundable.\n