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
