§ 85B-4. Licenses required. - North Carolina Statutes

§ 85B‑4.  Licensesrequired.

(a)        No person who isnot exempt under G.S. 85B‑2, shall sell, or offer to sell, goods or realestate at auction in this State or perform any act for which an auction firmlicense is required unless the person holds a currently valid license issuedunder this Chapter.

(b)        No person shall belicensed as an apprentice auctioneer, auctioneer, or receive an auction firmlicense if the person:

(1)        Is under 18 years ofage.

(1a)      Is not a high schoolgraduate or the equivalent. However, a person licensed under this Chapter priorto July 1, 1999, does not need to meet this requirement.

(2)        Repealed by SessionLaws 1983, c. 751, s. 6.

(3)        Has within thepreceding five years pleaded guilty to, entered a plea of nolo contendere orbeen convicted of any felony, or committed or been convicted of any actinvolving fraud or moral turpitude.

(4)        Has had anauctioneer or apprentice auctioneer or auction firm license revoked.

(5)        Has, within thepreceding five years, committed any act that constitutes grounds for licensesuspension or revocation under this Chapter or a Commission rule.

(c)        Each applicant foran apprentice auctioneer license shall submit a written application in a formapproved by the Commission and containing at least two statements by residentsof the community in which the applicant resides attesting to the applicant'sgood moral character.

(c1)      Each apprenticeauctioneer application and license shall name a licensed auctioneer to serve asthe supervisor of the apprentice. No apprentice auctioneer may enter into anagreement to conduct an auction, or conduct an auction, without the expressapproval of his supervisor. The supervisor shall review all contracts beforeapproving them and shall regularly review the records his apprentice isrequired to maintain under G.S. 85B‑7 to see that they are accurate andcurrent, and shall perform such other supervisory duties as may be required bythe Commission.

(d)        No person shall belicensed as an auctioneer unless the person has held an apprentice auctioneerlicense and served as an apprentice auctioneer for the two preceding years,accumulated sufficient knowledge and experience in such areas of the auctioneerprofession as the Commission may deem appropriate, and has taken an examinationapproved by the Commission and performed on it to the satisfaction of theCommission. The examination shall test the applicant's understanding of the lawrelating to auctioneers and auctions, ethical practices for auctioneers, themathematics applicable to the auctioneer business, and such other mattersrelating to auctions as the Commission considers appropriate. The examinationshall be given at least twice each year in North Carolina, and at other timesand places the Commission designates, but no person shall be allowed to takethe examination within six months after having failed it a second time.

Any person who hassuccessfully completed the equivalent of at least 80 hours of classroominstruction in a course in auctioneering at an institution whose curriculum andinstructors meet the qualifications approved or established by the Commissionmay be licensed as an auctioneer without holding an apprentice license andserving as an apprentice for two years, but shall take the examination requiredby this subsection and perform on it to the satisfaction of the Commission.

Each applicant for anauctioneer license shall submit a written application in a form approved by theCommission, pay all applicable fees, and consent in writing to a criminalhistory check as required by G.S. 85B‑3.2. If the applicant has beenpreviously licensed as an apprentice auctioneer, the application shall containan evaluation by the applicant's supervisor of the applicant's performance asan apprentice auctioneer and the applicant's performance in specific areas asrequired by the Commission. If the applicant is exempted from apprenticeshipafter completion of the equivalent of at least 80 hours of classroominstruction in auctioneering, the application shall contain a transcript of theapplicant's course work in auctioneering. Each application shall be accompaniedby statements of at least two residents of the community in which the applicantresides attesting to the applicant's good moral character. The Commission mayrequire verification of any information included in an application for anauctioneer license and may request other information or verification ofinformation provided to determine whether the applicant possesses the goodmoral character or other qualifications for licensure.

(e)        Each license issuedunder this Chapter shall be valid from July 1 of the year issued, or from thedate issued, whichever is later, to the following June 30 unless sooner revokedor suspended pursuant to this Chapter or a rule of the Commission. A licensemay be renewed for one year at a time, except an apprentice auctioneer licensemay not be renewed for more than three times. No examination shall be requiredfor renewal of an auctioneer license if the application for renewal is madewithin 24 months of the expiration of the previous license.

(e1)      The Commission mayrequire licensees to complete annually not more than six hours of Commission‑approvedcontinuing education courses prior to license renewal. The Commission mayimpose different continuing education requirements, including no suchrequirements, upon the classes of licensees under this Chapter. The Commissionmay waive any or all continuing education requirements in cases of hardship,disability, or illness, or under other circumstances as the Commission deemsappropriate. The Commission may adopt rules not inconsistent with theprovisions of this Chapter to establish continuing education requirements,including rules that govern any of the following:

(1)        The content andsubject matter of continuing education courses.

(2)        The curriculum ofrequired continuing education courses.

(3)        The criteria,standards, and procedures for the approval of courses, course sponsors, andcourse instructors.

(4)        The methods ofinstruction for continuing education courses.

(5)        The computation ofcourse credit.

(6)        The number of credithours needed annually.

(7)        The ability to carryforward course credit from one year to another.

(8)        The waiver of thecontinuing education requirement for hardship or other reasons to be determinedby the Commission.

(9)        The procedures forcompliance and noncompliance with continuing education requirements.

(f)         No person shall beissued an auctioneer or apprentice auctioneer license until the person has madethe contribution to the Fund as required by G.S. 85B‑4.1.

(g)        An auction firmmust be licensed by the Board even though no owner or officer of the firm actsas an auctioneer. To be licensed an auction firm must make the contribution tothe Fund as required by G.S. 85B‑4.1 and must pay the proper fees as setout in G.S. 85B‑6. Auction firms are covered by the provisions of G.S.85B‑8.

An auction firm license issuedby the Commission is restricted to the persons named in the license and doesnot inure to the benefit of any other person. Where a license is issued to anauction firm, authority to transact business under the license is limited tothe person or persons designated in the application and named in the license.

The designated person orpersons, prior to being licensed, shall be required to take a writtenexamination, approved by the Commission, and demonstrate to the satisfaction ofthe Commission a thorough understanding of the law relating to the conduct ofthe auction business and other matters the Commission deems appropriate. Anindividual who is licensed as an auctioneer and who is the designated personapplying for an auction firm license is not required to take the auction firmexamination. Licensed real estate brokers and real estate firms may be exemptfrom the auction firm examination provided they employ or associate themselveswith a licensed auctioneer to handle those aspects of the transactions peculiarto the auctioneer profession. Any person or entity, on the effective date ofthis Chapter, duly licensed as an auction firm in good standing is not requiredto take any examination in order to maintain or to renew an auction firmlicense provided that the license does not otherwise expire or lapse and is notsuspended or revoked by the Commission.

(h)        The Commission shallpublish at least once a year a list of names and addresses of all persons, soleproprietorships, partnerships and corporations holding valid apprenticeauctioneer, auctioneer, or auction firm licenses.

(i)         The Commission mayinvestigate as it deems necessary the ethical background of any applicant forlicensure under this Chapter. (1973, c. 552, s. 4; c. 1195, ss. 1, 2; 1975, c. 648,ss. 2‑4; 1983, c. 603, s. 4; c. 751, ss. 6‑8; 1989, c. 732, s. 1;1991 (Reg. Sess., 1992), c. 819, s. 4; c. 1030, s. 51.5; 1993, c. 421, s. 3;1999‑142, s. 4; 2001‑198, s. 2; 2005‑330, s. 4.)