New York — DOS Regulation, Discipline & Procedure — New York Real Estate — State Law Practice Test

This New York Real Estate — State Law New York — DOS Regulation, Discipline & Procedure practice set has 15 practice questions based on the official exam materials, each with an instant explanation.

Sample questions

Three questions from the New York — DOS Regulation, Discipline & Procedure bank with the correct answer and an explanation. The practice quiz above draws 15 questions at random from the same bank.

1. Which New York agency licenses and regulates real estate brokers and salespersons?

   • The New York Department of State (DOS), Division of Licensing Services — Correct answer
   • An independent New York Real Estate Commission board
   • The New York Department of Financial Services
   • The U.S. Department of Housing and Urban Development (HUD)

   Explanation: The New York Department of State (DOS), through its Division of Licensing Services, administers real estate licensing under RPL Article 12-A. Unlike Florida (FREC) or many other states, New York has NO independent 'real estate commission' board — the Secretary of State / DOS regulates the profession directly. Department of State（州务部）: the NY agency, headed by the Secretary of State, that issues and disciplines real estate licenses.

   Handbook: New York DOS Regulation — licensing authority (RPL Art.12-A §440-a; Division of Licensing Services)

2. In New York, who holds the ultimate statutory authority to issue, deny, suspend, or revoke a real estate license?

   • The Secretary of State, acting through the Department of State — Correct answer
   • An elected nine-member real estate commission
   • The local county clerk where the broker practices
   • The National Association of REALTORS®

   Explanation: RPL Article 12-A vests licensing and disciplinary authority in the Secretary of State (acting through the Department of State). New York deliberately has no separate appointed commissioner board for real estate — a key NY distinctive vs. states like Florida. Secretary of State（州务卿）: the head of the NY DOS who holds final authority over real estate licensing and discipline.

   Handbook: New York DOS Regulation — Secretary of State authority, no commission (RPL Art.12-A §441-c)

3. Under RPL §441-c, the Department of State may discipline a licensee who is found to have demonstrated which of the following?

   • Untrustworthiness or incompetency to act as a broker or salesperson — Correct answer
   • Failing to join a local board of REALTORS®
   • Earning a commission larger than the customary rate
   • Selling property located outside their home county

   Explanation: RPL §441-c lets DOS revoke or suspend a license when the licensee is found guilty of fraud or fraudulent practices, OR demonstrates 'untrustworthiness or incompetency' to act as a broker or salesperson. These broad standards — not a fixed list of crimes — are the core NY disciplinary triggers. Untrustworthiness（不可信赖）: conduct showing the licensee cannot be trusted to deal honestly with the public.

   Handbook: New York DOS Regulation — grounds for discipline (RPL §441-c)