21 NCAC .04 Licensing

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Questions and Answers

What is the time frame in which auctioneers must notify the Board of any criminal arrest, charge, or conviction?

Within 30 days (correct)

Within 60 days

Within 90 days

Within 14 days

Which of the following must be reported to the Board by auctioneers and auction firms?

Civil suits alleging gross negligence or fraud (correct)

Administrative complaints unrelated to licensure

Only lawsuits regarding auction transactions

All civil suits regardless of content

What kind of administrative proceedings need to be reported by auctioneers to the Board?

Proceedings limited to financial disputes with clients

Proceedings in any state regardless of concern

Proceedings involving potential termination of employment

Proceedings regarding any disciplinary actions against their licenses (correct)

What constitutes unprofessional conduct for auctioneers according to the regulations?

Engagement in gross negligence or fraud Signup and view all the answers

Which of the following actions is NOT required to be reported to the Board by licensees?

Personal disputes with colleagues Signup and view all the answers

Which behavior is considered a violation of licensee conduct standards?

Conducting an auction without any required permits Signup and view all the answers

What constitutes 'unprofessional conduct' for an auctioneer?

Committing any act prohibited by G.S. 85B-8(a) Signup and view all the answers

Which of the following actions is an example of incompetency in practice?

Consistently failing to understand auction principles Signup and view all the answers

What must auctioneers report regarding criminal activity?

Any criminal arrests, charges, or convictions related to dishonesty Signup and view all the answers

Which scenario would likely result in disciplinary action by the Auctioneer Licensing Board?

Failing to report a misdemeanor involving false testimony Signup and view all the answers

Which statement best describes the requirement for submitting disclosures?

All principals and designated persons must make required disclosures Signup and view all the answers

What defines 'lack of truth, honesty, and integrity' in auctioneering?

Violations of board rules demonstrating untrustworthiness Signup and view all the answers

Which situation would NOT be considered a violation of auctioneer conduct?

Holding a valid auction license and adhering to all regulations Signup and view all the answers

What action must an apprentice auctioneer take within 10 days after terminating their association with their supervising auctioneer?

Notify the Board in writing Signup and view all the answers

If an apprentice auctioneer is associated with a supervising auctioneer whose license is revoked, what happens to the apprentice's license?

It is placed in an invalid status Signup and view all the answers

What must an apprentice auctioneer do if their license remains invalid for over 90 days due to lack of an approved sponsor?

Secure an approved sponsor and submit a reinstatement fee Signup and view all the answers

Under what condition can an apprentice auctioneer's license stay valid after the termination of their supervising auctioneer?

If at least one Board-approved supervisor remains in place Signup and view all the answers

Which of the following actions can lead to the suspension or revocation of an auctioneer's license?

Allowing an unlicensed person to call a bid at a sale Signup and view all the answers

What is one reason for the Board to deny an auctioneer's license application?

Being adjudicated mentally incompetent by a court Signup and view all the answers

Which of the following does NOT constitute unprofessional conduct for auctioneers?

Receiving personal gifts from clients Signup and view all the answers

What should an auctioneer do if they wish to reinstate their license after it has become invalid?

Pay a reinstatement fee after securing an approved sponsor Signup and view all the answers

Study Notes

Grounds for License Denial or Discipline

The Auctioneer Licensing Board may deny, suspend, or revoke a license or issue a letter of reprimand based on several grounds.
These grounds include violations of North Carolina General Statutes (G.S.) 85B and rules of the Subchapter.
A license can also be denied if a check given to the Board is returned unpaid.
Unlicensed individuals are prohibited from calling bids at a sale, except as authorized by 21 NCAC 04B.0506.
A license can be denied for auctioneering at an unlicensed auction firm sale.
Applications for a license, renewal, or reinstatement require truthful information. False statements or lack of cooperation during investigations can lead to license denial.
A license can be denied if a licensee is adjudicated mentally incompetent by a court.
A license can be denied if a licensee is convicted of a crime that meets the requirements of G.S. 93B-8.1(b).
A license can be denied for any violation of a federal or state statute, rule, or regulation that relates to the auctioneering profession.
A license can be denied for practicing the profession while impaired by alcohol, drugs, or physical or mental disability or disease.
A license can be denied for being incompetent in practice, meaning the licensee engaged in conduct that shows a lack of ability, fitness, or knowledge to apply principles or skills of the auctioneering profession.
A license can be denied for engaging in unprofessional conduct, which includes committing any prohibited act as set forth in G.S. 85B-8(a).
A license can be denied for obtaining or attempting to obtain compensation by fraud or deceit.
A license can be denied for violating any order of the Auctioneer Licensing Board requiring a licensee to comply with any provision of the Board's law or administrative rules.
A license can be denied for failing to demonstrate truth, honesty, and integrity, which can be shown by proof of violation of other provisions of the Board's law and administrative rules.
A license can be denied for failure to make disclosures required by 21 NCAC 04B.0405.b.

Involvement in Court Action or Administrative Hearing

Auctioneers, apprentice auctioneers, and auction firms, including their principals and designated persons, must report certain criminal arrests, charges, or convictions to the Board. This includes misdemeanors involving dishonesty, deceit, fraud, or misrepresentation, and any felonies.
The Board must be notified within 30 days of the occurrence of any arrest, charge, or criminal conviction.
Auctioneers, apprentice auctioneers, and auction firms must also report civil suits involving allegations of gross negligence, dishonesty, fraud, misrepresentation, or incompetency, or those involving an auction sale or a transaction related to an auction matter or auctioneering.
The Board must be notified within 30 days of the date the complaint in the suit is served on the defendant or the date a pleading containing such allegations is served on a party.
Auctioneers, apprentice auctioneers, and auction firms must report administrative proceedings commenced against them that involve any potential revocation or suspension of, or other disciplinary action against, any auction license or auctioneer license held in another state.
The Board must be notified within 30 days of the date the auctioneer, apprentice auctioneer, or auction firm is notified of the administrative proceeding.

Apprentice Auctioneer License Status

An apprentice auctioneer must notify the Board, in writing, within 10 days of termination of their association with their supervising auctioneer. This will place their license in an invalid status.
An apprentice auctioneer's license will also be placed in an invalid status if their supervising auctioneer's license is suspended or revoked.
An apprentice auctioneer with an invalid license due to lack of a sponsor for more than 90 days will be required to submit a reinstatement fee upon securing an approved sponsor.
Both licensees must notify the Board in writing within 10 days of termination, specifying the date and cause.
The apprentice auctioneer's license will be placed in an invalid status at this time unless at least one Board-approved supervisor remains in place.

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Description

This quiz covers the key grounds for license denial or discipline as specified by the North Carolina Auctioneer Licensing Board. It includes important statutes and rules that govern auctioneer conduct and licensing. Understand the implications of violations and judicial determinations related to license status.