1. Who Wants to Be a Millionaire -
P.S. Procedural Quiz

2. Each group will have an opportunity to answer an equal number of questions. The table with the most correct answers will receive three bonus questions and a chance to win … $ 1,000,000

3. GOOD LUCK!

4. The REALTORS® Code of Ethics is based on
“caveat emptor”
the golden rule
real estate license law
federal anti trust law

5. The REALTORS® Code of Ethics is based on
“caveat emptor”
the golden rule
real estate license law
federal anti trust law

6. An ethics complaint can be filed by
board members
members of the public
someone involved as a principal or agent in the transaction
all of the above

7. An ethics complaint can be filed by
board members
members of the public
someone involved as a principal or agent in the transaction
all of the above

8. A seller-client can compel arbitration
with a cooperating (“selling”) broker
with the buyer
any time subsequent to the closing
if there is a contractual agreement with the listing broker

9. A seller-client can compel arbitration
with a cooperating (“selling”) broker
with the buyer
any time subsequent to the closing
if there is a contractual agreement with the listing broker

10. The grievance committee
holds preliminary hearings
determines that the Code may have been violated
can amend arbitration requests
cannot have it’s role carried out by a subset of the professional standards committee

11. The grievance committee
holds preliminary hearings
determines that the Code may have been violated
can amend arbitration requests
cannot have it’s role carried out by a subset of the professional standards committee

12. The grievance committee’s role in arbitration is to
determine arbitrability
determine whether arbitration is mandatory or voluntary
determine if the appropriate parties are named
all of the above

13. The grievance committee’s role in arbitration is to
determine arbitrability
determine whether arbitration is mandatory or voluntary
determine if the appropriate parties are named
all of the above

14. In an appeal of a grievance committee’s decision
parties can challenge members of the board of directors
parties can appear and argue their positions
attorneys for the parties may be present
only the information the grievance committee had when it made its determination will be given to the directors

15. In an appeal of a grievance committee’s decision
parties can challenge members of the board of directors
parties can appear and argue their positions
attorneys for the parties may be present
only the information the grievance committee had when it made its determination will be given to the directors

16. An ethics complaint can be amended by
the complainant with the hearing panel’s concurrence
the grievance committee
the hearing panel before the hearing
all of the above

17. An ethics complaint can be amended by
the complainant with the hearing panel’s concurrence
the grievance committee
the hearing panel before the hearing
all of the above

18. The concept of due process includes the right to
a full and fair hearing
an impartial tribunal
a full and complete knowledge of the charges
all of the above

19. The concept of due process includes the right to
a full and fair hearing
an impartial tribunal
a full and complete knowledge of the charges
all of the above

20. An individual’s name can be published after being found in violation of the Code
only if the local association adopts a policy authorizing publication
after three violations of the Code of Ethics are found within two years
only if a REALTOR® principal is expelled from membership
A and B

21. An individual’s name can be published after being found in violation of the Code
only if the local association adopts a policy authorizing publication
after three violations of the Code of Ethics are found within two years
only if a REALTOR® principal is expelled from membership
A and B

22. Who has the right to due process?
attorneys representing their clients
complainants
respondents
all parties

23. Who has the right to due process?
attorneys representing their clients
complainants
respondents
all parties

24. Subpoenas can be issued by hearing panels to compel witnesses to testify
in some ethics hearings
in some arbitration hearings
by the grievance committee
only on matters considered by the board of directors

25. Subpoenas can be issued by hearing panels to compel witnesses to testify
in some ethics hearings
in some arbitration hearings
by the grievance committee
only on matters considered by the board of directors

26. A $500 administrative processing fee can be assessed
as part of discipline imposed
against complainants and respondents
against respondents found in violation of the Code of Ethics
A and B

27. A $500 administrative processing fee can be assessed
as part of discipline imposed
against complainants and respondents
against respondents found in violation of the Code of Ethics
A and B

28. Mediation is a voluntary dispute resolving process which should be initiated before a request for arbitration is reviewed by the grievance committee
true
false
unable to answer given the information provided
only if the board has adopted a policy to this effect

29. Mediation is a voluntary dispute resolving process which should be initiated before a request for arbitration is reviewed by the grievance committee
true
false
unable to answer given the information provided
only if the board has adopted a policy to this effect

30. For procuring cause purposes, a “successful transaction” is defined as
the party paid the cooperating broker’s portion of a commission
as a sale that closes or a lease that is executed
one in which no parties or REALTORS® are sued
when the seller accepts the buyer’s offer to purchase

31. For procuring cause purposes, a “successful transaction” is defined as
the party paid the cooperating broker’s portion of a commission
as a sale that closes or a lease that is executed
one in which no parties or REALTORS® are sued
when the seller accepts the buyer’s offer to purchase

32. A commission dispute between two REALTOR® salespeople affiliated with the same company
must be arbitrated by the local association
must join the REALTOR® principal
may be arbitrated if the salespeople are still affiliated with the same company at the time of the hearing
can relate to advertising expenses

33. A commission dispute between two REALTOR® salespeople affiliated with the same company
must be arbitrated by the local association
must join the REALTOR® principal
may be arbitrated if the salespeople are still affiliated with the same company at the time of the hearing
can relate to advertising expenses

34. If a respondent admits he violated the Code, and the hearing panel finds him in violation
an appeal can be based on the nature or severity of discipline
no appeal is available since the respondent admitted he violated the Code
the only discipline that can be imposed is a letter of warning or a letter of reprimand
no discipline should be assessed because the purpose of Code enforcement is educational

35. If a respondent admits he violated the Code, and the hearing panel finds him in violation
an appeal can be based on the nature or severity of discipline
no appeal is available since the respondent admitted he violated the Code
the only discipline that can be imposed is a letter of warning or a letter of reprimand
no discipline should be assessed because the purpose of Code enforcement is educational

36. If a complainant withdraws an ethics complaint after the grievance committee referred it for hearing
the matter is closed
the complaint cannot be refiled at a later date
the hearing panel can become the complainant
the grievance committee can become the complainant and the matter can proceed to a hearing only if there is a violation of the public trust.

37. If a complainant withdraws an ethics complaint after the grievance committee referred it for hearing
the matter is closed
the complaint cannot be refiled at a later date
the hearing panel can become the complainant
the grievance committee can become the complainant and the matter can proceed to a hearing only if there is a violation of the public trust.

38. Arbitration requests
must be filed prior to closing of the underlying transaction
must be filed within 180 days after the closing, regardless of when the complainant learned of the dispute
may specify the dollar amount in dispute
must be dated and signed by the complainant

39. Arbitration requests
must be filed prior to closing of the underlying transaction
must be filed within 180 days after the closing, regardless of when the complainant learned of the dispute
may specify the dollar amount in dispute
must be dated and signed by the complainant

40. The grievance committee
may appoint committee members to help REALTORS® file complaints
may appoint committee members to assist nonmember complainants in filing complaints
may not act as a complainant
must request a response from ethics respondents

41. The grievance committee
may appoint committee members to help REALTORS® file complaints
may appoint committee members to assist nonmember complainants in filing complaints
may not act as a complainant
must request a response from ethics respondents

42. If civil litigation is in progress when an ethics complaint is filed
staff decides whether the ethics complaint will be heard
the grievance committee chair decides whether to forward the ethics complaint for hearing
board counsel recommends to the grievance committee whether the complaint should go forward to hearing, with the decision made by the committee
the complaint is automatically held in abeyance pending outcome of civil litigation

43. If civil litigation is in progress when an ethics complaint is filed
staff decides whether the ethics complaint will be heard
the grievance committee chair decides whether to forward the ethics complaint for hearing
board counsel recommends to the grievance committee whether the complaint should go forward to hearing, with the decision made by the committee
the complaint is automatically held in abeyance pending outcome of civil litigation

44. Members of a hearing panel
cannot question a witness before the opposing party has questioned the witness
may discuss the case with any party subsequent to the hearing
cannot recess a hearing for more than one hour
may not absent themselves from the hearing while testimony or evidence is being submitted and then rejoin the tribunal

45. Members of a hearing panel
cannot question a witness before the opposing party has questioned the witness
may discuss the case with any party subsequent to the hearing
cannot recess a hearing for more than one hour
may not absent themselves from the hearing while testimony or evidence is being submitted and then rejoin the tribunal

46. The standard of proof
for ethics decisions is a preponderance of the evidence
for arbitration awards is clear, strong, and convincing proof
for violations of MLS rules is a preponderance of the evidence
for ethics appeals and procedural review of arbitration based on alleged procedural deficiencies or failures of due process is whether the effect was to deny the appellant a fair hearing

47. The standard of proof
for ethics decisions is a preponderance of the evidence
for arbitration awards is clear, strong, and convincing proof
for violations of MLS rules is a preponderance of the evidence
for ethics appeals and procedural review of arbitration based on alleged procedural deficiencies or failures of due process is whether the effect was to deny the appellant a fair hearing

48. CONGRATULATIONS!
That is the end of Round #1 worth $125,000. The group, or groups, with the most correct answers must now correctly answer three bonus questions to win … $1,000,000

49. LET’S PLAY Round #2!

50. Appropriate discipline for an ethics violation could include
an apology
a specified number of hours of community service (not to exceed 30 hours)
a fine of not more than $6,000
suspension or termination of MLS services

51. Appropriate discipline for an ethics violation could include
an apology
a specified number of hours of community service (not to exceed 30 hours)
a fine of not more than $6,000
suspension or termination of MLS services

52. Dissenting opinions can be filed by arbitration hearing panel members
can be filed by ethics hearing panel members but not disseminated to the parties
may not be issued by the board of directors
can be filed by ethics hearing panel members and are provided to the parties

53. Dissenting opinions can be filed by arbitration hearing panel members
can be filed by ethics hearing panel members but not disseminated to the parties
may not be issued by the board of directors
can be filed by ethics hearing panel members and are provided to the parties

54. Which of the following is an appropriate basis for a procedural review request
an error in interpreting or applying the procuring cause factors
the discipline imposed is too severe
the panel awarded more money than was requested
the award amount is too large or too small

55. Which of the following is an appropriate basis for a procedural review request
an error in interpreting or applying the procuring cause factors
the discipline imposed is too severe
the panel awarded more money than was requested
the award amount is too large or too small

56. You win!!!
(Check is in the mail)

57. Thanks for playing.
For other policy training materials, refer to the Board Policy and Programs web site
(URL: \mempolweb.nsf)
Produced by:
The Member Policy Department of the National Association of REALTORS®