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Broker Audit Declaration Requirements

  • All designated (including self employed) brokers are required to complete a Broker Audit Declaration form at the time of license renewal.
  • The due date is the broker’s individual license renewal date. The broker is allowed to submit the Broker Audit Declaration up to sixty (60) days prior to the renewal date.
  • The Broker Audit Declaration is a self-audit completed by each Designated Broker.  This form provides the broker the opportunity to review the operation of the office and to self-correct any deficiencies.
  • The Broker Audit Declaration does not replace nor preclude the Department from conducting an on-site audit of a broker’s office as necessary.
  • Upon the Department’s receipt, the Broker Audit Declaration is a public record and is kept by the Department for at least five (5) years.  (NOTE: Bank account numbers and other confidential information are not public record and are redacted prior to Broker Audit Declarations being released pursuant to a public records request.)

rev. 10/09