2023 New York Laws › RPP - Real Property › Article 12-A - Real Estate Brokers and Real Estate Salespersons › 441 - Application for License.

§   441.   Application   for   license.   1.  Form.  (a)  Any  person,
copartnership, limited liability company or corporation desiring to  act
as  a  real estate broker or any person desiring to act as a real estate
salesperson on or after the  first  day  of  October,  nineteen  hundred
twenty-two,  shall  file  with  the department of state at its office in
Albany an application for the kind of license desired, in such form  and
detail  as  such  department  shall  prescribe  and  conforming  to  the
requirements of section 3-503 of the general  obligations  law,  setting
forth the following, if the application be for a broker's license:
(i)  The  name  and  residence  address  of  the  applicant, and if an
individual the name under which they intend to conduct business.
(ii) If the applicant  be  a  copartnership  the  name  and  residence
address  of each member thereof and the name under which the business is
to be conducted; or, if the applicant be a  limited  liability  company,
the  name  of  the  company,  and  the name and residence of each of its
members; or, if  the  applicant  be  a  corporation,  the  name  of  the
corporation and the name and residence address of each of its officers.
(iii)  The  place or places, including the city, town or village, with
the street and number, where the business is to be conducted.
(iv)  The  business  or  occupation  theretofore  engaged  in  by  the
applicant,  or,  if  a  copartnership,  by each member thereof, or, if a
limited liability company, by each member thereof, or, if a corporation,
by each  officer  thereof,  for  a  period  of  two  years,  immediately
preceding  the  date  of  such  application,  setting forth the place or
places where such business or occupation was engaged in and the name  or
names of employers, if any.
(v)  The  form, information and statement required by section 3-503 of
the general obligations law.
(b) Such further information as the department may reasonably  require
shall be furnished by the applicant including sufficient proof of having
taken  and  passed  a written examination and answered such questions as
may be prepared  by  the  department  to  enable  it  to  determine  the
trustworthiness  of the applicant if an individual, or of each member of
a co-partnership or each member of a limited liability company  or  each
officer  of  a  corporation for whom a license as a broker is asked, and
their competency to transact the business of real estate broker in  such
a  manner  as  to  safeguard the interests of the public. In determining
competency, the department shall require proof  that  the  person  being
tested  to  qualify to apply for a broker's license has a fair knowledge
of the English language, a fair understanding of  the  general  purposes
and  general  legal  effect of deeds, mortgages, land contracts of sale,
and leases, a general and fair understanding of the obligations  between
principal  and agent, has taken a class on cultural competency training,
a general and fair understanding of  the  laws,  rules  and  regulations
pertaining  to  fair housing and discrimination in the sale or rental of
real property or an interest  in  real  property,  as  well  as  of  the
provisions  of  this section. The applicant must also furnish proof that
they have attended for at least one  hundred  fifty-two  hours  and  has
successfully  completed  a real estate course or courses approved by the
secretary of state as  to  method  and  content  and  supervision  which
approval  may  be  withdrawn if in the opinion of the secretary of state
said course or courses are not being conducted properly  as  to  method,
content  and  supervision,  and  that  either the applicant has actively
participated in the general real estate brokerage business as a licensed
real estate salesperson under the supervision of a licensed real  estate
broker for a period of not less than two years or has had the equivalent
experience  in  general  real  estate  business for a period of at least
three years, the nature of which  experience  shall  be  established  by

affidavit  duly  sworn  to  under  oath  and/or  other and further proof
required   by   the   department   of    state.    Computer-based    and
distance-learning  courses  may be approved by the department so long as
providers demonstrate the ability to monitor and verify participation by
the  applicant  for  the  specified  time  period.  Notwithstanding  the
foregoing authority  to  approve  computer-based  and  distance-learning
courses,  the  department may prescribe that specified subjects or hours
must be presented in a classroom setting. For purposes of this  section,
cultural   competency   is  defined  as  understanding  cultural  norms,
preferences and challenges within our diverse communities.
(c) In the event the applicant shall be a licensed  salesperson  under
this  article  and shall have submitted acceptable proof pursuant to the
provisions of either paragraph (d) of subdivision one-A of this  section
or paragraph (a) of subdivision three of this section of having attended
and  successfully  completed  seventy-seven  hours  of  an approved real
estate course or courses, six hours of which have been focused  on  fair
housing  and discrimination in the sale or rental of real property or an
interest in real property,  within  eight  years  of  the  date  of  the
application,  the  department may accept and credit same against the one
hundred fifty-two hours required hereunder.
(d) The one hundred fifty-two hours of an approved real estate  course
or  courses  required by paragraph (b) of this subdivision shall include
instruction on fair housing and discrimination in the sale or rental  of
real  property or an interest in real property as described in paragraph
(e) of subdivision three of this section and instruction on the licensed
real estate broker's responsibility for ensuring that each licensed real
estate salesman under such broker's supervision is  in  compliance  with
his  or her obligations under applicable federal, state, and local laws,
rules, and regulations pertaining to fair housing and discrimination  in
the sale or rental of real property or an interest in real property.
1-A.  (a)  Every  application  for a real estate salesperson's license
shall set forth:
(i) The name and residence address of the applicant.
(ii) The name and principal business address of the broker  with  whom
they are to be associated.
(iii)  The  business  or  occupation  engaged  in  for  the  two years
immediately preceding the date of the  application,  setting  forth  the
place  or  places  where such business or occupation was engaged in, and
the name or names of employers if any.
(iv) The length of time they have been  engaged  in  the  real  estate
business.
(v)  The  form, information and statement required by section 3-503 of
the general obligations law.
(b) Each applicant for a  salesperson's  license  shall  provide  such
further  information as the department may reasonably require, appearing
at such time and place as may be designated by the department, to take a
written examination and answer such questions as may be prepared by  the
department  to  enable  it  to  determine  the  trustworthiness  of  the
applicant and the applicant's competence to  transact  the  business  of
real  estate  salesperson in such a manner as to safeguard the interests
of the public, including the applicant's working knowledge of the  basic
concepts  of law pertaining to contracts, real property, agency and this
article which govern conduct of such business, knowledge of laws, rules,
and regulations pertaining to fair housing  and  discrimination  in  the
sale or rental of real property or an interest in real property, mastery
of  basic  skills  needed  to  perform  the  applicant's duties, working
knowledge of the ethical obligations of a real estate  salesperson,  and

knowledge of the provisions of the general obligations law pertaining to
performance of the applicant's duties.
(c)  Each  application  for either a broker's or salesperson's license
under this article shall be subscribed by the applicant; or if made by a
co-partnership it shall be subscribed by a member thereof, or if made by
a corporation it shall be subscribed by an officer  thereof,  and  shall
conform  to the requirements of section 3-503 of the general obligations
law. Each application shall contain an  affirmation  by  the  person  so
subscribing  that the statements therein are true under the penalties of
perjury. An application for  a  license  shall  be  accompanied  by  the
appropriate license fee, as hereinafter prescribed in this article.
(d)  Anything to the contrary herein notwithstanding, on and after the
effective  date  of  this  paragraph,  no   salesperson's   license   or
conditional  license  shall  be  issued  by  the  department  unless the
application therefor has been accompanied by proof that  prior  to  such
application  the applicant has attended at least seventy-seven hours and
successfully completed a real estate course or courses approved  by  the
secretary  of  state  as  to  method  and content and supervision, which
approval may be withdrawn if in the opinion of the  secretary  of  state
said  course or courses are not properly conducted as to method, content
and supervision. Computer-based and  distance-learning  courses  may  be
approved  by the department so long as providers demonstrate the ability
to monitor and verify participation by the applicant for  the  specified
time   period.   Notwithstanding  the  foregoing  authority  to  approve
computer-based  and  distance-learning  courses,  the   department   may
prescribe  that  specified  subjects  or  hours  must  be presented in a
classroom setting.
2. Renewals. Any license granted under the  provision  hereof  may  be
renewed  by  the  department  upon  application  therefor  by the holder
thereof, in such form as the department may prescribe and conforming  to
the  requirements  of  section 3-503 of the general obligations law, and
payment of the fee for such license. In case of application for  renewal
of  license,  the  department  may dispense with the requirement of such
statements as it deems unnecessary in view of  those  contained  in  the
original   application  for  license  but  may  not  dispense  with  the
requirements of section 3-503 of the general obligations law. A  renewal
period within the meaning of this act is considered as being a period of
two  years  from  the date of expiration of a previously issued license.
The department shall require any  applicant,  who  does  not  apply  for
renewal of license within such period, to qualify by passing the written
examination as provided herein, and may require any licensee who has not
yet  passed  the written examination, and who cannot reasonably prove to
the satisfaction of the department, that  he  can  meet  the  competency
requirements,  to  pass  the  written  examination  before  a renewal of
license shall be granted; provided, however, that a person who failed or
was unable to renew his license by reason of his induction or enlistment
in the armed forces of the United States shall not be required  to  take
or pass such examination.
3.  (a)  No  renewal  license  shall be issued any licensee under this
article for any  license  period  commencing  November  first,  nineteen
hundred  ninety-five unless such licensee shall have within the two year
period immediately preceding such renewal attended at  least  twenty-two
and  one-half  hours  which shall include at least two hours of cultural
competency training, at least three hours of instruction  pertaining  to
fair  housing  and/or  discrimination  in  the  sale  or  rental of real
property or an  interest  in  real  property,  at  least  two  hours  of
instruction  pertaining to implicit bias awareness and understanding, at
least two and  one-half  hours  of  instruction  pertaining  to  ethical

business  practices,  at  least  one  hour  of instruction pertaining to
recent legal matters governing the practice of real estate  brokers  and
salespersons  in New York which may include statutes, laws, regulations,
rules,  codes,  department  of  state  opinions and decisions, and court
decisions and at least one hour of instruction pertaining to the law  of
agency  except  in  the  case of the initial two-year licensing term for
real estate salespersons, two hours of agency related  instruction  must
be  completed,  and  successfully  completed a continuing education real
estate course or courses approved  by  the  secretary  of  state  as  to
method,  content  and supervision, which approval may be withdrawn if in
the opinion of the secretary of state such course  or  courses  are  not
being  conducted  properly  as  to  method, content and supervision. For
those individuals licensed pursuant to subdivision six of  section  four
hundred forty-two-g of this article, in the individual's initial license
term,  at  least  eleven  hours  of the required twenty-two and one-half
hours of continuing education shall be completed during the  first  year
of  the  term.  Of  those  eleven  hours,  three  hours shall pertain to
applicable  New  York  state  statutes  and  regulations  governing  the
practice   of   real  estate  brokers  and  salespersons.  To  establish
compliance with the continuing education requirements  imposed  by  this
section,  licensees  shall provide an affidavit, in a form acceptable to
the department of state,  establishing  the  nature  of  the  continuing
education  acquired  and shall provide such further proof as required by
the department of state.  For purposes of  this  subdivision,  "implicit
bias"   shall   mean   the  attitudes  or  stereotypes  that  affect  an
individual's understanding, actions  and  decisions  in  an  unconscious
manner.
(b)  Notwithstanding the provisions of section four hundred one of the
state  administrative  procedure  act,  except  as  provided   in   this
paragraph, no license issued under this article shall continue in effect
beyond  the  period  for  which  it is issued if the proof of attendance
required  hereunder  is  not  submitted  and  accepted  prior  to   such
expiration  date.  The  department in its discretion may however issue a
temporary renewal license for such period of time it  deems  appropriate
to  permit  the  submission of the required proof of attendance when the
failure to submit such proof is not due to the fault of the licensee.
(c) (i) The secretary of state shall promulgate rules establishing the
method, content, setting and supervision requirements of the  continuing
education real estate course or courses provided for in this section. In
establishing  the  requirements  for  the continuing education course or
courses, the secretary of state shall permit alternatives  with  respect
to  content  and  method of presentation in consideration of the type of
brokerage practiced and the availability of the sources of  such  course
or  courses  in  different areas of the state. Each course shall have an
established curriculum composed primarily of real  estate  practice  and
professional  responsibility  and  ethics  and properly prepared written
materials of the subject matter which shall be distributed  as  part  of
the  course.  It  shall  be taught by a qualified faculty with attorneys
presenting legal subjects. Credit shall be awarded on the basis  of  one
hour  for  each  sixty minutes of actual attendance and records shall be
maintained of attendance at each session which shall be  transmitted  to
the  department  at  the  conclusion  of  the course. Computer-based and
distance learning courses may be approved by the department so  long  as
providers demonstrate the ability to monitor and verify participation by
the licensee for the specified time period.
(ii) The secretary of state shall require approved faculty to sign and
affirm,  under penalty of perjury, a document, approved by and submitted
electronically to the department of state, attesting to compliance  with

all  applicable  statutory and regulatory requirements pertaining to the
instruction of the established curriculum. The secretary of state  shall
promulgate  penalties  for  faculty  that  fail  to meet the obligations
required   under  this  section  and  department  of  state  regulations
including, but  not  limited  to,  the  temporary  suspension  of  their
instructor  certificate for the first such failure and the revocation of
their instructor certificate for any subsequent failure.
(d) The state real estate board,  created  pursuant  to  section  four
hundred  forty-two-i  of  this  article,  shall  not  have  the power to
promulgate  any  rule,  regulation  or  guidance  requiring   continuing
education   for   real   estate  brokers  or  salespeople  except  those
requirements set forth in subdivisions two and  three  of  section  four
hundred forty-two-k of this article.
(e)  The  secretary  of state shall, upon notice and a public hearing,
promulgate rules establishing the content of the instruction  pertaining
to  fair  housing  and/or  discrimination  in the sale or rental of real
property or an interest in real property required by  paragraph  (a)  of
this subdivision. Such instruction shall include, but not be limited to,
courses  on:  (1)  the  legacy  of  segregation,  unequal treatment, and
historic lack of access to opportunity in housing; (2) unequal access to
amenities and resources on the basis  of  race,  disability,  and  other
protected  characteristics;  (3)  federal, state, and local fair housing
laws; and (4) anti-bias training.
4. The fees provided for by this section shall not be refundable.