Florida Regulations 61B-60.003: Application for and Renewal of Broker or Salesperson License
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(1) Application for License.
(a) All persons desiring to obtain a license to act as a broker or salesperson, shall apply for licensure by filing with the division a completed application on DBPR Form YS 6000-1, APPLICATION FOR A YACHT AND SHIP EMPLOYING BROKER, BROKER OR SALESPERSON LICENSE, incorporated herein by reference and effective 11-3-03, a copy of which may be obtained at the address referenced in subsection 61B-60.002(1), F.A.C., accompanied by the $500 application fee, the $51 fingerprint processing fee, a complete set of fingerprints which comply with the form provided in the application materials, and by the bond or irrevocable letter of credit as provided by Fl. Admin. Code R. 61B-60.004
(b) No application for licensure shall be deemed acceptable for purposes of filing unless all of the aforementioned components are tendered therewith. Furthermore, no application for licensure shall be deemed acceptable unless funds are available upon deposit for any negotiable instrument tendered to the division in order to satisfy the respective application and fingerprint processing fee requirement.
(c) Except as to time frames relating to review for form provisions as described within subsection 61B-60.003(2), F.A.C., no operative time-frame within which the division would otherwise be required to act shall be commenced until an acceptable filing has been received by the division.
(2) Review for Form.
(a) The division shall review the application within 10 days of its receipt to determine if it is in acceptable form, meaning that the application form is completed in its entirety and the application fee, the $43 fingerprint processing fee, a complete set of fingerprints, and bond or letter of credit conforming to the requirements of Fl. Admin. Code R. 61B-60.004, have been received by the division. If the application is in acceptable form, the division shall issue a temporary 90-day license.
(b) If the application is deficient for form in any way and thereby unacceptable, the division shall notify the applicant of the nature of the deficiency, and the applicant shall have 21 days from receipt of the deficiency notice to correct the deficiencies. If an applicant fails to correct the deficiencies within this period of time, the division shall issue a notice of intent to reject license application.
(c) The applicant will subsequently have 10 days from receipt of said notice to correct the referenced deficiencies. If the referenced deficiencies are not corrected within the allotted time frame, the subject application shall be rejected and the applicant shall be so notified by certified mail without requiring any further proceeding.
(d) Rejection shall not prejudice any prospective reapplication, however, such would then be processed subject to the requirements as set forth for any initial filing.
(3) Review for Good Moral Character.
(a) When the application has been determined to be in acceptable form, the division shall evaluate the application and make appropriate inquiry to determine the applicant’s moral character. For the purposes of this rule, the following factors bear upon good moral character:
1. The completion of a criminal history check by the Florida Department of Law Enforcement that reveals no convictions of a felony, no convictions of a misdemeanor involving moral turpitude, and no pleas of nolo contendere, pleas of guilty, or verdicts of guilty to a felony charge or of any non-felonious offense involving moral turpitude, fraud, theft, dishonesty, assault and battery, or false statement; and
2. Civil lawsuits and administrative actions bearing upon moral character (e.g., fraud, misrepresentation, theft, assault and battery); and
3. Applicant’s prior history of unlicensed brokering or sales activity in the State of Florida subject to the provisions of Florida Statutes Chapter 326; and
4. Tendering to the division a bank or other depository check for payment of any fee, which check lacks sufficient funds on deposit in or credit with such bank or depository with which to pay the same on presentation, where the applicant, upon notification of same by the bank or division, fails to redeem the check or otherwise pay the fee within 21 days of such notification; and
5. Other relevant information generated in the course of the application process that bears upon the applicant’s moral character, including but not limited to those acts described by Section 326.006(2)(e)-(f), F.S.; and
6. Failure of the applicant to provide full and complete disclosure, or to provide accurate information, on the application for licensure.
7. The foregoing factors shall be considered in determining whether an applicant is of good moral character for purposes of licensure under Florida Statutes Chapter 326, if they comply with the following guidelines:
a. The disposition of criminal charges shall be considered if such constitutes a felony, or if such constitutes a misdemeanor involving moral turpitude, fraud, theft, dishonesty, assault and battery, or false statement.
b. The disposition of any administrative action or of any civil litigation involving fraud, misrepresentation, theft, assault and battery, or moral turpitude shall be considered if such results in a determination against the interests of the applicant.
c. Except as provided in sub-sub-paragraph 7.d. of this rule, no information relating to criminal, administrative or civil actions shall be considered if more than 5 years has elapsed from the satisfaction of the terms of any order, judgment, restitution agreement, or termination of any administrative or judicially-imposed confinement or supervision of the applicant, whichever is more recent.
d. Any action, proceeding, or grievance filed against the applicant, individually or otherwise, which relates to the applicant’s prospective duties, responsibilities, and obligations of licensure under Florida Statutes Chapter 326, may be considered with no limitation as to time.
e. Other considerations such as termination of probation, compliance with and satisfaction of any judgment or restitution agreement may be considered as evidence of rehabilitation of the applicant’s good moral character.
(b) Within 15 days after the division has determined that the application is in acceptable form, the division shall apply for a criminal history record with the Florida Department of Law Enforcement.
(c) After receipt of the criminal history check, the division shall complete its evaluation of the moral character of the applicant. As used herein, “”criminal history check”” shall include verification of the nature and disposition of all criminal charges and all civil or administrative actions initiated against the applicant. Specifically, the inquiry may include the following:
1. National fingerprint processing;
2. Status as to any supervision of the applicant (e.g., confinement, probation, community service requirements);
3. Status as to any restitution agreements;
4. Status as to any civil judgments or final orders; and
5. Contact with arresting agencies and responses to requests for clarification by the division. The applicant shall assist the division in acquiring the foregoing information.
(d) If upon completion of its evaluation of the moral character of an applicant, the division concludes that the applicant does possess good moral character, the division shall issue the applicant a license, upon payment of all fees owed to the division, if any.
(e) The effective date of the permanent license will be the date that the temporary license is actually issued by the division. The expiration date of the permanent license will be a date 2 years from date of issuance of the temporary license.
(f) If upon completion of its evaluation of the moral character of an applicant, the division concludes that the applicant does not possess good moral character, the division shall issue a notice of its intent to deny the application.
(4) Notification of License Expiration. The division shall notify all licensees of impending license expiration, not less than 60 days prior to expiration, on a DBPR Form YS 6000-6, APPLICATION FOR YACHT AND SHIP LICENSE RENEWAL/ BRANCH OFFICE RENEWAL, effective 3-13-02, incorporated by reference, a copy of which may be obtained at the address referenced in subsection 61B-60.002(1), F.A.C.
(5) Submission of Application for License Renewal. Licensees shall apply for renewal of their license on a DBPR Form YS 6000-6, APPLICATION FOR YACHT AND SHIP LICENSE RENEWAL/BRANCH OFFICE RENEWAL, incorporated in subsection (4) above, accompanied both by a $500 renewal fee and by the bond or letter of credit or proper continuation certificate, as provided by Fl. Admin. Code R. 61B-60.004 Completed applications shall be postmarked not less than 30 days prior to the expiration of the current license.
(6) Review for Form. The division shall review the application within 10 days of its receipt to determine if it is in acceptable form. If the application is in acceptable form, the division shall review moral character as set forth in subsection (7) below. Acceptable form means that the application is completely filled out, is signed by the licensee, and is accompanied by the renewal fee, and bond or letter of credit or continuation certificate. If the application is deficient for form, the division shall notify the applicant of the deficiency. The deficiency shall be corrected by the applicant within 21 days after receiving notification of the deficiency. If the applicant fails to correct the deficiency within this period of time, the division shall reject the application for license renewal by issuing a notice of intent to reject renewal application by proceeding as set forth in paragraphs 61B-60.003(2)(b), (c), and (d), F.A.C.
(7) Review for Moral Character. Upon determining that a renewal application is in acceptable form, the division shall examine the content of the application to verify continued good moral character. Those factors identified in Fl. Admin. Code R. 61B-60.003(3)(a), and in Section 326.006(2)(e), (f), F.S., bear upon good moral character.
(8) If upon completion of the evaluation of moral character, the division approves the application for license renewal, the division shall issue a license.
(9) The holder of an expired license who fails to renew his license within 30 days after such expiration and who desires to perform yacht and ship broker services shall be required to make an initial application to the division and proceed as provided in Fl. Admin. Code R. 61B-60.004
Specific Authority 215.405, 326.003 FS. Law Implemented 326.004, 326.006 FS. History-New 2-13-90, Amended 11-25-90, 10-11-92, Formerly 7D-60.003, Amended 2-13-97, 3-13-02, 5-15-03, 11-3-03.
Terms Used In Florida Regulations 61B-60.003
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Fraud: Intentional deception resulting in injury to another.
- Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
- Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
- Probation: A sentencing alternative to imprisonment in which the court releases convicted defendants under supervision as long as certain conditions are observed.
- Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
(b) No application for licensure shall be deemed acceptable for purposes of filing unless all of the aforementioned components are tendered therewith. Furthermore, no application for licensure shall be deemed acceptable unless funds are available upon deposit for any negotiable instrument tendered to the division in order to satisfy the respective application and fingerprint processing fee requirement.
(c) Except as to time frames relating to review for form provisions as described within subsection 61B-60.003(2), F.A.C., no operative time-frame within which the division would otherwise be required to act shall be commenced until an acceptable filing has been received by the division.
(2) Review for Form.
(a) The division shall review the application within 10 days of its receipt to determine if it is in acceptable form, meaning that the application form is completed in its entirety and the application fee, the $43 fingerprint processing fee, a complete set of fingerprints, and bond or letter of credit conforming to the requirements of Fl. Admin. Code R. 61B-60.004, have been received by the division. If the application is in acceptable form, the division shall issue a temporary 90-day license.
(b) If the application is deficient for form in any way and thereby unacceptable, the division shall notify the applicant of the nature of the deficiency, and the applicant shall have 21 days from receipt of the deficiency notice to correct the deficiencies. If an applicant fails to correct the deficiencies within this period of time, the division shall issue a notice of intent to reject license application.
(c) The applicant will subsequently have 10 days from receipt of said notice to correct the referenced deficiencies. If the referenced deficiencies are not corrected within the allotted time frame, the subject application shall be rejected and the applicant shall be so notified by certified mail without requiring any further proceeding.
(d) Rejection shall not prejudice any prospective reapplication, however, such would then be processed subject to the requirements as set forth for any initial filing.
(3) Review for Good Moral Character.
(a) When the application has been determined to be in acceptable form, the division shall evaluate the application and make appropriate inquiry to determine the applicant’s moral character. For the purposes of this rule, the following factors bear upon good moral character:
1. The completion of a criminal history check by the Florida Department of Law Enforcement that reveals no convictions of a felony, no convictions of a misdemeanor involving moral turpitude, and no pleas of nolo contendere, pleas of guilty, or verdicts of guilty to a felony charge or of any non-felonious offense involving moral turpitude, fraud, theft, dishonesty, assault and battery, or false statement; and
2. Civil lawsuits and administrative actions bearing upon moral character (e.g., fraud, misrepresentation, theft, assault and battery); and
3. Applicant’s prior history of unlicensed brokering or sales activity in the State of Florida subject to the provisions of Florida Statutes Chapter 326; and
4. Tendering to the division a bank or other depository check for payment of any fee, which check lacks sufficient funds on deposit in or credit with such bank or depository with which to pay the same on presentation, where the applicant, upon notification of same by the bank or division, fails to redeem the check or otherwise pay the fee within 21 days of such notification; and
5. Other relevant information generated in the course of the application process that bears upon the applicant’s moral character, including but not limited to those acts described by Section 326.006(2)(e)-(f), F.S.; and
6. Failure of the applicant to provide full and complete disclosure, or to provide accurate information, on the application for licensure.
7. The foregoing factors shall be considered in determining whether an applicant is of good moral character for purposes of licensure under Florida Statutes Chapter 326, if they comply with the following guidelines:
a. The disposition of criminal charges shall be considered if such constitutes a felony, or if such constitutes a misdemeanor involving moral turpitude, fraud, theft, dishonesty, assault and battery, or false statement.
b. The disposition of any administrative action or of any civil litigation involving fraud, misrepresentation, theft, assault and battery, or moral turpitude shall be considered if such results in a determination against the interests of the applicant.
c. Except as provided in sub-sub-paragraph 7.d. of this rule, no information relating to criminal, administrative or civil actions shall be considered if more than 5 years has elapsed from the satisfaction of the terms of any order, judgment, restitution agreement, or termination of any administrative or judicially-imposed confinement or supervision of the applicant, whichever is more recent.
d. Any action, proceeding, or grievance filed against the applicant, individually or otherwise, which relates to the applicant’s prospective duties, responsibilities, and obligations of licensure under Florida Statutes Chapter 326, may be considered with no limitation as to time.
e. Other considerations such as termination of probation, compliance with and satisfaction of any judgment or restitution agreement may be considered as evidence of rehabilitation of the applicant’s good moral character.
(b) Within 15 days after the division has determined that the application is in acceptable form, the division shall apply for a criminal history record with the Florida Department of Law Enforcement.
(c) After receipt of the criminal history check, the division shall complete its evaluation of the moral character of the applicant. As used herein, “”criminal history check”” shall include verification of the nature and disposition of all criminal charges and all civil or administrative actions initiated against the applicant. Specifically, the inquiry may include the following:
1. National fingerprint processing;
2. Status as to any supervision of the applicant (e.g., confinement, probation, community service requirements);
3. Status as to any restitution agreements;
4. Status as to any civil judgments or final orders; and
5. Contact with arresting agencies and responses to requests for clarification by the division. The applicant shall assist the division in acquiring the foregoing information.
(d) If upon completion of its evaluation of the moral character of an applicant, the division concludes that the applicant does possess good moral character, the division shall issue the applicant a license, upon payment of all fees owed to the division, if any.
(e) The effective date of the permanent license will be the date that the temporary license is actually issued by the division. The expiration date of the permanent license will be a date 2 years from date of issuance of the temporary license.
(f) If upon completion of its evaluation of the moral character of an applicant, the division concludes that the applicant does not possess good moral character, the division shall issue a notice of its intent to deny the application.
(4) Notification of License Expiration. The division shall notify all licensees of impending license expiration, not less than 60 days prior to expiration, on a DBPR Form YS 6000-6, APPLICATION FOR YACHT AND SHIP LICENSE RENEWAL/ BRANCH OFFICE RENEWAL, effective 3-13-02, incorporated by reference, a copy of which may be obtained at the address referenced in subsection 61B-60.002(1), F.A.C.
(5) Submission of Application for License Renewal. Licensees shall apply for renewal of their license on a DBPR Form YS 6000-6, APPLICATION FOR YACHT AND SHIP LICENSE RENEWAL/BRANCH OFFICE RENEWAL, incorporated in subsection (4) above, accompanied both by a $500 renewal fee and by the bond or letter of credit or proper continuation certificate, as provided by Fl. Admin. Code R. 61B-60.004 Completed applications shall be postmarked not less than 30 days prior to the expiration of the current license.
(6) Review for Form. The division shall review the application within 10 days of its receipt to determine if it is in acceptable form. If the application is in acceptable form, the division shall review moral character as set forth in subsection (7) below. Acceptable form means that the application is completely filled out, is signed by the licensee, and is accompanied by the renewal fee, and bond or letter of credit or continuation certificate. If the application is deficient for form, the division shall notify the applicant of the deficiency. The deficiency shall be corrected by the applicant within 21 days after receiving notification of the deficiency. If the applicant fails to correct the deficiency within this period of time, the division shall reject the application for license renewal by issuing a notice of intent to reject renewal application by proceeding as set forth in paragraphs 61B-60.003(2)(b), (c), and (d), F.A.C.
(7) Review for Moral Character. Upon determining that a renewal application is in acceptable form, the division shall examine the content of the application to verify continued good moral character. Those factors identified in Fl. Admin. Code R. 61B-60.003(3)(a), and in Section 326.006(2)(e), (f), F.S., bear upon good moral character.
(8) If upon completion of the evaluation of moral character, the division approves the application for license renewal, the division shall issue a license.
(9) The holder of an expired license who fails to renew his license within 30 days after such expiration and who desires to perform yacht and ship broker services shall be required to make an initial application to the division and proceed as provided in Fl. Admin. Code R. 61B-60.004
Specific Authority 215.405, 326.003 FS. Law Implemented 326.004, 326.006 FS. History-New 2-13-90, Amended 11-25-90, 10-11-92, Formerly 7D-60.003, Amended 2-13-97, 3-13-02, 5-15-03, 11-3-03.