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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 no earlier than 90 days before the broker's license expiration 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.)