dliu1/legal-llama-raw-text huggingface dataset:
shall,  upon  a  conviction  for  a  violation  of any provision of this
article, and  within  ten  days  thereafter,  make  and  file  with  the
department  of  state  a  detailed  report  showing  the  date  of  such
3. Penalty recoverable by person aggrieved. In case the offender shall
have received any sum of money as commission, compensation or profit  by
or  in consequence of his violation of any provision of this article, he
shall also be liable to a penalty of not less than the amount of the sum
of money received by him as such commission, compensation or profit  and
not  more  than  four  times  the  sum  so  received  by  him, as may be
determined by the court, which penalty may be sued for and recovered  by
any  person  aggrieved  and  for  his  use  and benefit, in any court of
4. In  any  prosecution  under  this  article,  any  person,  firm  or
corporation  who, for another, performs or offers to perform or attempts
or offers to attempt, the performance of any one of the acts  set  forth
in  section  four hundred forty of this article, shall be presumed to do
so for a fee, commission  or  other  valuable  consideration,  but  such
presumption  shall  not  arise  out of a single transaction, except upon
proof of repeated and successive acts, offers  or  attempts  of  a  like
5.  The  secretary  of  state  shall  have  the  power  to enforce the
provisions of this article and upon complaint of any person, or on their
own initiative, to investigate any violation thereof or  to  investigate
the  business,  business  practices  and business methods of any person,
firm or corporation applying for or holding a license as a  real  estate
broker  or salesperson, if in the opinion of the secretary of state such
investigation is warranted. Each such applicant  or  licensee  shall  be
obliged,   on  request  of  the  secretary  of  state,  to  supply  such
information as  may  be  required  concerning  their  or  its  business,
business  practices  or business methods, or proposed business practices
or methods.
6. For the purpose of enforcing the provisions of this article and  in
making  investigations  relating  to  any violation thereof, and for the
purpose of investigating the character, competency and integrity of  the
applicants  or licensees hereunder, and for the purpose of investigating
the business, business practices and business methods of  any  applicant
or  licensee,  or  of  the officers or agents thereof, the department of
state, acting by such  officer  or  person  in  the  department  as  the
secretary  of  state may designate, shall have the power to subpoena and
bring before the officer or person so  designated  any  person  in  this
state  and  require the production of any books or papers which he deems
relevant to the inquiry and administer an oath to and take testimony  of
any  person  or  cause his deposition to be taken with the same fees and
mileage and in the same manner as prescribed by law for civil cases in a
court of record, except that any applicant or  licensee  or  officer  or
agent  thereof  shall  not  be entitled to such fees andor mileage. Any
person,  duly  subpoenaed,  who  fails  to  obey  such  subpoena without
reasonable cause or without such cause refuses  to  be  examined  or  to
answer   any  legal  or  pertinent  question  as  to  the  character  or
qualification of such applicant  or  licensee  or  such  applicant's  or
licensee's  business, business practices and methods or such violations,
shall be guilty of a misdemeanor.
7. In any criminal proceeding before any court or grand jury, or  upon
any  investigation before the department of state for a violation of any
of the provisions of this section, the  court  or  grand  jury,  or  the
secretary   of  state,  his  deputy  or  other  officer  conducting  the
investigation, may confer immunity, in accordance with the provisions of
section 50.20 or 190.40 of the criminal procedure law.
8. Notwithstanding any inconsistent provision of law, with respect  to
violations  of  section  four  hundred  forty-two-h of this article, the
secretary of state is authorized, upon the complaint of any person or on
his or her own initiative, to investigate and  prosecute  violations  of
the  provisions of such section by persons not licensed pursuant to this
article and may impose a fine not exceeding one  hundred  fifty  dollars
for the first violation, not exceeding five hundred dollars for a second
violation,  and  not exceeding one thousand dollars for a third and each
subsequent violation. The attorney general,  acting  on  behalf  of  the
secretary  of  state, may commence an action or proceeding in a court of
competent jurisdiction to obtain  a  judgment  against  such  unlicensed
person in an amount equal to that imposed as a fine.
§ 442-f. Saving clause. The provisions of this article shall not apply
to  receivers,  referees,  administrators, executors, guardians or other
persons appointed by or acting under the judgment or order of any court;
or public officers while performing their official duties, or  attorneys
at law.
§  442-g.  Nonresident  licensees.  1. A nonresident of this state may
become a real estate broker or a real estate salesperson  by  conforming
to  all  of  the  provisions  of this article, except that a nonresident
broker regularly engaged in the real estate business as a  vocation  who
is licensed and maintains a definite place of business in another state,
which  offers the same privileges to the licensed brokers of this state,
shall not be required to maintain a place of business within this state.
Anything to the contrary herein notwithstanding, if any state  prohibits
or  restricts the right of a resident of this state to become a licensed
nonresident real estate broker or salesperson, then the issuance of such
a license to an applicant resident in  such  state  shall  be  similarly
restricted.  The  department of state shall recognize the license issued
to  a  real  estate  broker  or  salesperson   by   another   state   as
satisfactorily  qualifying them for license as broker or salesperson, as
the case may be, under this section; provided that the laws of the state
of which they are a resident require that  applicants  for  licenses  as
real estate brokers and salespersons shall establish their competency by
written  examinations  but  permit licenses to be issued to residents of
the State  of  New  York  duly  licensed  under  this  article,  without
examination.  If  the  applicant  is a resident of a state which has not
such  requirement  then  the  applicant  must   meet   the   examination
requirement as provided herein and the department of state shall issue a
license  to  such  nonresident broker or salesperson upon payment of the
license fee and the filing by the applicant with  the  department  of  a
certified copy of the applicant's license issued by such other state.
2.  Every  nonresident  applicant  shall  file with his application or
renewal application an irrevocable consent on a form prescribed  by  the
department of state submitting himself to the jurisdiction of the courts
of this state and designating the secretary of state of the state of New
York as his agent upon whom may be served any summons, subpoena or other
process  against  him  in any action or special proceeding. Such process
may issue in any court in this state having jurisdiction of the  subject
matter,  and  the  process  shall  set  forth that the action or special
proceeding is within the jurisdiction of the court.
3. Service of such process upon the secretary of state shall  be  made
by  personally  delivering to and leaving with him or his deputy or with
any person authorized by the secretary of state to receive such service,
at the office of  the  department  of  state  in  the  city  of  Albany,
duplicate  copies of such process together with a fee of five dollars if
the action is solely for the recovery of a sum of money not in excess of
two hundred dollars and the process is so endorsed, and  a  fee  of  ten
dollars  in any other action or proceeding, which fee shall be a taxable
disbursement. If such process is served upon behalf of a  county,  city,
town or village, or other political subdivision of the state, the fee to
be paid to the secretary of state shall be five dollars, irrespective of
the amount involved or the nature of the action on account of which such
service  of  process  is  made.  If  the  cost  of  registered  mail for
transmitting a  copy  of  the  process  shall  exceed  two  dollars,  an
additional  fee  equal  to  such excess shall be paid at the time of the
service of such process. Proof of  service  shall  be  by  affidavit  of
compliance  with this subdivision filed by or on behalf of the plaintiff
together with the process, within ten days after such service, with  the
clerk of the court in which the action or special proceeding is pending.
Service  made  as  provided  in  this section shall be complete ten days
after such papers are filed with the clerk of the court and  shall  have
the  same  force  and validity as if served on him personally within the
state and within the territorial jurisdiction of the  court  from  which
the process issues.
4.  The  secretary  of state shall promptly send one of such copies by
registered mail, return receipt requested, to the nonresident broker  or
nonresident  salesperson at the post office address of their main office
as set forth in the last application filed by him or her.
5.  Nothing in this section shall effect the right to serve process in
any other manner permitted by law.
6.  Notwithstanding  any  other  provisions  of  this   article,   the
department  of  state  shall grant a real estate broker or a real estate
salesperson license to an applicant who is a member of the household  of
a  member  of  the  armed forces of the United States, national guard or
reserves and was a member of such household before such  member  of  the
armed forces relocated to the state who submits satisfactory evidence of
licensure,  certification  or  registration  to  practice  an equivalent
occupation issued by a state, territory, protectorate or  dependency  of
the   United  States,  provided  that  such  license,  certification  or
certificate of registration was current and effective within one year of
the date of the individual's application for licensure in New York,  was
granted  in  compliance  with standards that are, in the judgment of the
secretary, no less rigorous than those required  for  licensure  in  New
York. If such standards for licensure, certification or registration are
deemed  by  the  secretary  to  be less rigorous than those required for
licensure in New York, the secretary shall permit an applicant to submit
evidence in a form acceptable to the department of state to  demonstrate
the  applicant's  competency  and  trustworthiness.  If such evidence is
sufficient in the judgment of the secretary, the secretary shall grant a
real estate broker or real estate salesperson license.
§  442-h.  Rules of the secretary of state. 1. The secretary of state,
and not the state real  estate  board  established  under  section  four
hundred  forty-two-i  of  this  article,  shall  adopt  such  rules  and
regulations as the secretary of state may determine  are  necessary  for
the administration and enforcement of this section.
2.  (a) If, after a public hearing and a reasonable investigation, the
secretary of state  determines  that  the  owners  of  residential  real
property  within  a  defined  geographic area are subject to intense and
repeated solicitations by real estate brokers and salespersons or others
to place their property for  sale  with  such  real  estate  brokers  or
salespersons,  or  otherwise  to  sell  their  property,  and  that such
solicitations have caused owners to  reasonably  believe  that  property
values  may  decrease because persons of different race, ethnic, social,
or religious backgrounds are moving  or  are  about  to  move  into  the
neighborhood  or  geographic  area,  the  secretary of state may adopt a
rule, to be known as a nonsolicitation order, directing all real  estate
brokers,  salespersons  and other persons regularly engaged in the trade
or business of buying and selling real estate to refrain from soliciting
residential real estate listings or otherwise  soliciting  the  sale  of
residential  real  estate  within the subject area. Each area subject to
such an order shall be bounded or otherwise specifically defined in  the
order.  The  nonsolicitation  order  shall  be subject to such terms and
conditions as the secretary of state may determine are, on  balance,  in
the  best  interest  of  the  public,  including  but not limited to the
affected owners and licensees. A nonsolicitation order may prohibit  any
or  all  types  of solicitation directed towards particular home-owners,
including but  not  limited  to  letters,  postcards,  telephone  calls,
door-to-door  calls,  and  handbills.  Every nonsolicitation order shall
contain a provision setting forth the day, month and year that the order
shall become effective, as well as the day,  month  and  year  that  the
order  shall  expire. A nonsolicitation order shall not be effective for
more  than  five  years.  However,  a  nonsolicitation  order  and   the
boundaries  of  the  area  where it applies may be re-adopted or amended
from time to time in accordance with the procedures set forth herein.
(b) No real estate broker shall establish a new  principal  office  or
branch  office  within  any  geographic  area  which is the subject of a
nonsolicitation order without  prior  approval  from  the  secretary  of
state.  The  secretary  of  state  may  deny  any  application  for  the
establishment or relocation of a principal office or  branch  office  if
approval  of  the  application would cause the total number of principal
and branch offices within the subject area to exceed the total number of
principal and branch offices that were licensed within the area  on  the
date the nonsolicitation order became effective.
3.  (a)  If  the  secretary  of  state  determines that some owners of
residential real property within a defined geographic area  are  subject
to  intense  and  repeated  solicitation  by  real  estate  brokers  and
salespersons to place their property for  sale  with  such  real  estate
brokers  or  salespersons,  or  are  subject  to  intense  and  repeated
solicitation by other persons regularly engaged in the trade or business
of buying and selling  real  estate  to  sell  their  real  estate,  the
secretary  of  state  may  adopt  a rule establishing a cease and desist
zone, which zone shall be bounded or otherwise specifically  defined  in
the  rule.  After  the  secretary  of  state has established a cease and
desist zone, the owners of residential real property located within  the
zone  may  file  an  owner's  statement  with  the  secretary  of  state
expressing their wish not  to  be  solicited  by  real  estate  brokers,
salespersons or other persons regularly engaged in the trade or business
of buying and selling real estate. The form and content of the statement
shall  be prescribed by the secretary of state. After a cease and desist
zone has been established by the secretary  of  state,  no  real  estate
broker,  salesperson  or  other person regularly engaged in the trade or
business  of buying and selling real estate shall solicit a listing from
any owner who has filed a statement with the secretary of state if  such
owner's  name  appears  on the current cease and desist list prepared by
the secretary of state. The prohibition on solicitation shall  apply  to
direct forms of solicitation such as the use of the telephone, the mail,
personal  contact  and  other  forms  of  direct  solicitation as may be
specified by the secretary of state.
(b) The secretary of state shall compile a cease and desist  list  for
each  zone established pursuant to paragraph (a) of this subdivision. In
addition to such other information as the secretary of  state  may  deem
appropriate,  each  cease and desist list shall contain the name of each
owner who has filed an owner's statement with the secretary, as well  as
the  address  of  the  property  within  the  zone  to which the owner's
statement applies. The secretary of state shall send to each  owner  who
has  filed  an  owner's  statement  a  written  acknowledgement  of  the
secretary of state's receipt thereof and a pamphlet  explaining  to  the
owner  his  or her rights in connection therewith and the procedures and
time limits applicable to the filing of complaints for  violations.  The
secretary  of state shall allow an owner who files, or on behalf of whom
is filed, a complaint or other report of a  violation  of  a  cease  and
desist  rule  ninety  days in which to perfect a complaint by submitting
such other or further information or documents as the secretary of state
may require. The secretary of state shall print a list  for  each  zone.
Each  list shall be revised and reprinted at least annually on or before
December thirty-first and shall be made available to the public  and  to
real  estate brokers at a reasonable price to be set by the secretary of
state and approved by the  director  of  the  division  of  the  budget.
Additions  or  deletions shall be made to each list only at the time the
list is reprinted, and the secretary of state shall not issue amendments
or addenda to any printed list.
(c) No rule establishing a cease and desist zone  shall  be  effective
for longer than five years. However, the secretary of state may re-adopt
the  rule  to  continue the cease and desist zone for additional periods
not to exceed five years each. Whenever a rule establishing a cease  and
desist  zone shall have expired or shall have been repealed, all owner's
statements filed with the secretary of state pursuant to that rule shall
also expire. However, an  owner  may  file  a  new  statement  with  the
secretary  of  state  if  a new rule is adopted establishing a cease and
desist zone containing the owner's property. Once the  boundaries  of  a
cease  and desist zone have been established by rule of the secretary of
state, the boundaries may  not  be  changed  except  by  repeal  of  the
existing   rule  and  adoption  of  a  new  rule  establishing  the  new
4. (a) Each real estate broker shall institute standardized  operating
procedures  for the prerequisites prospective homebuyers must meet prior
to receiving any services. Such standardized operating procedures  shall
include but not be limited to the following:
(i) whether prospective clients shall show identification;
(ii) whether an exclusive broker agreement is required;
(iii) whether pre-approval for a mortgage loan is required; and
(iv) any other such standardized operating procedures as the secretary
of  state  shall  determine  by  regulation  and  upon notice and public
(b) Real estate brokers shall  date  stamp,  notarize  and  post  such
standardized  operating procedures on any publicly available website and
mobile device application they maintain,  shall  make  a  copy  of  such
procedures  available  to  the  public  upon  request  at  their  office
locations, and shall maintain a  file  of  such  standardized  operating
procedures  while  the broker's license is active. Any website or mobile
device application maintained by a team or  a  real  estate  salesperson
should also have the brokers' policies posted or have a direct link from
such  website  or  mobile  device application to the brokers' website or
mobile  device  application.  If  any  alterations  are  made   to   the
standardized  operating  procedures  subsequent  to  such  posting, real
estate brokers shall date stamp, notarize and  post  such  new  standard
operating  procedures on any publicly available website or mobile device
application  they  maintain  within  thirty  days,  and   archive   such
alterations.  Any  broker  or  salesperson  operating  under a brokerage
license that fails to adhere  to  such  operating  procedures  shall  be
subject  to the penalties imposed by section four hundred forty-one-c of
this article.
(c) Any time a real estate broker is required to renew  their  license
they  must affirm to the department of state that they are in compliance
with the  requirements  of  this  subdivision  related  to  standardized
operating procedures.
§  442-i.  State  real  estate  board.  1. There is hereby established
within the department of state a state real  estate  board  which  shall
consist of the secretary of state, superintendent of financial services,
and thirteen additional members. At least five of these members shall be
real  estate  brokers, each of whom, at the time of appointment, shall
be licensed and qualified as a real estate broker under the laws of  New
York  state  and  shall have been engaged in the real estate business in
this state for a period of not less than ten years prior to appointment.
The remaining members shall be public members who shall  not  be  real
estate licensees.
2.  The  thirteen members shall be appointed as follows: seven members
shall be appointed by the governor, three of whom shall be  real  estate
brokers  and  four of whom shall be public members; two members shall be
appointed by the temporary president of the senate, one of whom shall be
a real estate broker and one of whom  shall  be  a  public  member;  two
members  shall  be appointed by the speaker of the assembly, one of whom
shall be a real estate broker and one of whom shall be a public  member;
one  member shall be appointed by the minority leader of the senate, who
shall be either a real estate broker or a public member; and one  member
shall  be appointed by the minority leader of the assembly, who shall be
either a real estate broker or a public member.
3. Each appointed member shall serve for a term of two years;  at  any
point during such term the appointed member may be removed by the person
who  appointed  such member. In the event that any of said members shall
die or resign  during  the  term  of  office,  the  successor  shall  be
appointed  in the same way and with the same qualifications as set forth
above. A member may be reappointed for successive terms  but  no  member
shall serve more than ten years in his or her lifetime.
4.  A  majority  of  members  currently  serving on the board shall be
required in order to pass any resolution or to approve any matter before
the board. The secretary of state shall be chairperson of the board. The
vice-chairperson and  a  secretary  shall  be  elected  from  among  the
members.  A  board member who fails to attend three consecutive meetings
shall forfeit the seat unless  the  secretary  of  state,  upon  written
request  from the member, finds that the member should have been excused
from a meeting because of illness or death of a family member.
5. Each member of the board shall receive no compensation  other  than
reimbursement for actual and necessary expenses.
6.  The board shall meet no fewer than three times per year and at the
call of the secretary of state or a majority of the board.  In  addition
to  regularly  scheduled  meetings of the board, there shall be at least
one public hearing each year in New York city, one public  hearing  each
year  in  Buffalo,  and one public hearing each year in Albany. At least
fifteen days prior to the  holding  of  any  of  these  public  hearings
pursuant  to this subdivision, the board shall give public notice of the
hearing in a newspaper of general circulation in  each  area  where  the
public  meeting is to be held. The purpose of these hearings shall be to
solicit  from  members  of  the  public,  suggestions,   comments,   and
observations about real estate practice in New York state.
§  442-j. Effect of invalid provision. Should the courts of this state
declare any provision of this article unconstitutional, or unauthorized,
or in conflict with any other section or provision of this article, then
such decision shall affect only the section or provision so declared  to
be  unconstitutional  or  unauthorized  and  shall  not affect any other
section or part of this article.
§  442-k.  Powers  and  duties of the state real estate board. 1.  The