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Real Estate · Broker Supervision and Office Management

When a new salesperson affiliates with a brokerage, what supervisory step is commonly expected of the broker?

Reviewed by Jordan Morley, Editorial Lead at 247SimpleTests. Written by the 247SimpleTests Editorial Team from the official source material cited on every question.

Correct answer

Provide orientation and closer oversight of the new licensee's early transactions and trust handling, since inexperienced agents pose a higher compliance risk

  1. A Supervise only after a violation occurs
  2. B No special attention is needed
  3. C Let the new agent close deals unsupervised immediately
  4. D Provide orientation and closer oversight of the new licensee's early transactions and trust handling, since inexperienced agents pose a higher compliance risk

Why this is the answer

New and inexperienced licensees present a higher risk of unintentional violations, so a reasonable broker gives them additional attention: orientation to the firm's policies, training on agency disclosure, contracts, advertising, and trust-fund handling, and closer review of their early transactions and any funds they receive. Some states explicitly require heightened supervision of newly licensed agents or limit how independently they may operate at first. This is a practical part of the broker's duty to supervise and helps prevent problems before they happen. The state broker portion tests the expectation that brokers tailor their supervision to the experience level of their agents, especially newcomers.
Source: Supervision of New Licensees

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About this topic: Broker Supervision and Office Management

Broker supervision and office management questions cover the state's requirements for a designated or managing broker — office location, signage, branch offices, supervision of licensees and handling of transactions. This is one of 13 Broker (State Law) questions on broker supervision and office management, each with a full explanation on a single study page.

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