2. General Records Compliance

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Each of the following headings in bold text are the questions in the Broker Audit Declaration that must be answered with a YES, NO or N/A, with the appropriate Statute and/or Rule to follow: GENERAL RECORDS COMPLIANCE Signage is properly affixed at the main entrance to the brokerage office and each branch office and is […]

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1. Start Here – Broker Supervision & Control Audit Declaration 3. General Records Compliance & Broker Review