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Enforcement and Compliance (E&C) Division

Frequently Asked Questions



Can the Department provide legal advice?
No, the Department is unable to give legal advice.


Where am I to get legal advice?
You may want to speak to a licensed Arizona attorney.


Can you recommend an attorney?
The Department cannot recommend legal counsel.  You can visit the Arizona State Bar website at www.azbar.org or contact the local county bar associations for attorney referral.


Should I get an attorney regarding disciplinary proceedings with the Department?
The Department cannot provide legal advice or recommend attorneys.  If you have questions of a legal nature, you should contact an attorney.


What is an Accelerated Settlement Agreement (ASA)?
It is an abbreviated Consent Order.


I received an Intent to Deny (ITD) my application for real estate salesperson’s (or broker’s) license.  What do I do?
The Commissioner has authority to deny applications.  An ITD is an appealable action and, by statute, you have 30 days to appeal in writing the Department’s decision to deny your application.


I received an ASA or a Consent Order along with an ITD.  What do I do?
The ITD gives you 30 days to appeal the denial of your application.  However, the Department may be willing to resolve the matter according to the terms offered in the ASA or Consent Order.


Does the finalized Accelerated Settlement Agreement or Consent Order become a public record?
Once an ASA or Consent Order is agreed to, signed by both parties and entered by the Department, it becomes public record.


Once I return ASA or Consent Order, how long before the Commissioner gives approval?
It typically takes 1 to 2 weeks for the Commissioner to review the file, accept, reject, or request modifications.


I filed my renewal application.  Am I still legal to work?
If you filed a timely and sufficient renewal application as an active status licensee, you are currently licensed to work for (employer), pursuant to Arizona Administrative Code R4-28-303 (A)(1), provided your license has not been severed by your employer.


We filed a complaint against a licensee or other entity, and are waiting on the Department to take disciplinary action before we decide to proceed to take legal action.
Do not wait on the Department to take action.  Administrative disciplinary actions can take months to resolve.  Further, these are separate from any civil actions that might be considered.


How can I request the status of my complaint or E&C case?
The division can only disclose the “location” of the file, i.e. with Licensing, with Investigations, with Enforcement and Compliance.  Complainants will be notified in writing upon completion and closure of the file.


The Department has issued a Cease and Desist on a “developer”.  A buyer of one of the lots calls for information about the Cease and Desist.  How does this affect this buyer and the lot he purchased?
A Cease and Desist Order (“C&D”) is generally filed and recorded against land (or lots) still owned by a “developer” and may or may not be recorded against the buyer’s lot.  However, the County in which the land or lots is located MAY, by statute, withhold building permits on all the lots subject to the C&D.  The buyer or current owner may want to seek private legal counsel regarding possible rights and remedies.


I want to request an Informal Settlement Conference (ISC).
The Department will grant a request for an ISC on appealable agency actions; such as an Intent to Deny; Summary Suspension of a License or Public Report; Cease and Desist, etc.  The request for an ISC must be in writing to the Department and within statutory timeframes.


Will a settlement be reached at an ISC?
The Department is not obligated to settle at an ISC.


When I received the Consent Order, did the expiration date on my license change?
No, the expiration date of your license and the Consent Order execution date are two different things.


How can I tell when the Consent Order was executed?
The execution (or effective) date of the Consent Order is the date that the Commissioner’s signs the Consent Order.


I have a Consent Order and my license expires tomorrow.  I’ve input my Continuing Education on line, but the website won’t let me renew online.
While the Consent Order remains open, the Department website will allow you to input your education, but you cannot renew online.  You must submit the license renewal application by hard copy.  Further, the renewal form will have some yes responses so filing the renewal on line would be a false application.  Finally, if the renewal form is not post marked as a timely renewal you will be required to submit a late fee which is in addition to the renewal fee. (see Fee Schedule)


Five business days ago, I turned in a hire form, renewal form, or sever form etc.  to the Compliance Officer and the Department’s website does not show it as processed.
Contact the Department Compliance Officer, who will research this and notify you of the status.


A Department staff member told me that my license wouldn’t expire until a certain date and now I see that it is expired.
It is your responsibility to check the Department website for accuracy.  The duty to ensure timely renewals, correct addresses, phone numbers, active or inactive status, etc. is the responsibility of the Licensee.  If you have a Consent Order, contact the Department Compliance Officer for guidance.  You are encouraged to check your license information on the Department website for accuracy on a weekly basis and each time you submit paperwork to update your licensing status.


rev. 10/09