CHAPTER Auc 100 DEFINITIONS, ORGANIZATION AND PUBLIC
INFORMATION
PART Auc 101
PURPOSE AND SCOPE
Auc
101.01 Purpose and Scope. The rules of this title implement the
statutory responsibilities of the new hampshire board
of auctioneers created by RSA 311-B:2.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New.
#5441, eff 7-27-92; ss by #6657, eff
1-1-98; ss by #12155, eff 4-5-17
PART Auc 102 DEFINITIONS
Auc 102.01 Terms Used. As used in these rules, the following terms
shall have the meanings indicated:
(a) “Absolute auction” means an auction without
reserve:
(1) In which the property offered for sale is
sold to the highest bidder;
(2) Where no minimum price will
limit the bid;
(3) Where the seller does not withdraw the
property from the auction after the first bid has been made by a registered
bidder and accepted by the auctioneer; and
(4) Where the seller does not participate in the
sale by bidding personally, or through an agent, regardless of sales price;
(b) “Apprentice auctioneer” means an individual
who serves under the direction of a supervising auctioneer, as
described in Auc 302.01;
(c) “Auction” means “auction” as defined in RSA
311-B:1, I, namely, “the sale of real or personal property, or both, in which
the sale price of the property offered is increased by competitive bids until
the highest accepted bidder becomes the purchaser.”;
(d) “Auctioneer” means “auctioneer” as defined in RSA 311-B:1, II;
(e) “Auctioneering” means “auctioneering” as defined in RSA 311-B:1, III;
(f) “Authorized business organization” means
“authorized business organization” as defined in RSA 311-B:1, IV, namely “any entity
organized for gain or profit and carrying on any business activity within the
state of New Hampshire which is:
(1) A corporation or business association having
at least one officer holding a valid license issued by the office of
professional licensure and certification;
(2) A partnership in which at least one partner
holds a valid license issued by the office;
(3) A limited liability company in which the
managing member holds a valid license issued by the office;
(4) A sole proprietorship or sole shareholder
corporation in which the sole proprietor or sole shareholder holds a valid
license issued by the office; or
(5) A trust in which at least one trustee holds a
valid license issued by the office”;
(g) “Bid caller” means a licensed auctioneer or
apprentice who publicly solicits bids for the property by public outcry;
(h) “Board” means “board” as defined by RSA
311-B:1, V. The term includes “the agency” unless another meaning is clearly
indicated from context;
(i) “Resident” means
any person who resides in the state of New Hampshire upon filing an
application;
(j) “Responsible auctioneer” means the New
Hampshire licensee whose name and license number appear in all advertising and
who is completely responsible for the conduct of the auction and for proper
accounting and payment to all consignors;
(k) “Supervising auctioneer" means the
responsible auctioneer who has taken the additional responsibility of
supervising an apprentice auctioneer;
(l) “The falling of the hammer” means the time
between the acknowledgment of the last bid and the time the item is proclaimed
sold; and
(m) “Unprofessional conduct” means any action by
a licensee, institution, or organization which is unlawful.
Source.
#1993, eff 3-31-82; ss by #2706, eff 5-10-84; ss by #4093, eff 7-21-86;
EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #12449, eff 1-10-18; ss by #14500, eff 2-8-26
PART Auc 103 AGENCY
ORGANIZATION
Auc 103.01 Composition of
the Board.
(a) The board consists of members who meet the
eligibility requirements of RSA 311-B:2.
(b) The board shall elect a chair at its first regular
meeting of the calendar year.
Source.
#6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26
Auc 103.02 Office Location, Mailing Address, and Telephone.
(a) The board’s office is within the office of
professional licensure and certification (OPLC), at mailing address N.H. Board
of Auctioneers, c/o OPLC, 7 Eagle Square, Concord, N.H. 03301.
(b) Correspondence, filings, and other
communications intended for the board shall be addressed to the board at the
location stated in (a) above.
(c) The board’s telephone number is (603)
271-2152.
Source.
#6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26 (formerly
Auc 103.03)
Auc 103.03 Functions of the
Board. The board shall, with the approval of the executive director of the
OPLC, adopt rules for:
(a) Establishing eligibility for certificates of
authorization;
(b) Establishing requirements for continuing
education;
(c) Determining how disciplinary actions by the
board shall be implemented;
(d) Establishing the qualifications of applicants
for initial, renewal, and reinstatement licensure;
(e) Determining how applicants demonstrate good
professional character;
(f) The required ethical and professional
standards for licensees; and
(g) Any other matters related to the proper
administration of RSA 311‑B.
Source. #6657,
eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26 (formerly
Auc 103.04)
PART Auc 104 PUBLIC
INFORMATION
Auc 104.01 Record of Board
Actions. Minutes shall be kept of
board meetings and of official actions taken by the board as required by RSA
91-A:2. These minutes shall record the
members who participate in each vote and shall separately record the position
of members who choose to dissent, abstain, or concur. Minutes of board actions which are not
confidential under RSA 91-A:3, II or RSA 91-A:5 shall be governmental records
and shall be available for inspection during the board’s ordinary office hours
within 144 hours from the close of the meeting or vote in question unless the 72 hour availability requirement of RSA 91-A:3, III is
applicable.
Source.
#6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26
Auc 104.02 Custodian of
Records.
The executive director is the custodian of records for the board.
Source.
#6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26
Auc 104.03 Copies of
Records. Requests for access to governmental records pursuant to RSA 91-A:4
shall be made directly to the executive director by sending a request as
required by Plc 104.01 with the information specified in Plc 104.02.
Source.
#6657, eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26
Auc 104.04 Record Retention.
The OPLC shall keep a final board decision as required by Plc
206.34.
Source.
#12416, eff 11-9-17; ss by #14500, eff 2-8-26
PART Auc 105 MEETINGS,
DELIBERATIONS,
AND DECISIONS
Auc 105.01 Meetings.
The board shall meet monthly, except by a vote
of the board. The board shall meet also
at the call of the chair.
Source. #6657,
eff 1-1-98; ss by #12155, eff 4-5-17; ss by #14500, eff 2-8-26
CHAPTER
Auc 200
PRACTICE AND PROCEDURE
REVISION NOTE:
Document #14500, effective 2-8-26,
repealed all of previous chapter Auc
200 and adopted new text.
PART Auc 201 PRACTICE AND PROCEDURES
Auc 201.01 Rules of Practice and Procedure. The
Plc 200 rules shall govern with regards to all
procedures for:
(a) The receipt and investigation of misconduct
complaints;
(b) The conduct of adjudicative and
non-adjudicative proceedings;
(c) Rulemaking submissions, considerations, and
dispositions of rulemaking petitions;
(d) Public comment hearings;
(e) Declaratory rulings;
(f) Explanation of adopted rules;
(g) Voluntary surrender of licenses; and
(h) Waivers.
Source.
#14500, eff 2-8-26
CHAPTER
Auc 300
LICENSING REQUIREMENTS
PART
Auc 301
APPLICATION
Auc
301.01 Required Information.
(a) Each applicant for a New Hampshire
auctioneer's license under RSA 311-B shall complete and submit
an application for a license as an auctioneer containing the following
information about the applicant:
(1) Name and date of birth;
(2) Residence and business
address, telephone numbers, email and website addresses;
(3) Places of employment and
occupations for the last 5 years, including employer(s) name, address,
telephone number, dates of employment, job title(s), and job duties;
(4) Whether licensed as an
auctioneer in other states, and if so, copies of those current licenses;
(5) Whether ever refused or
denied an auctioneer's license in any state, and if so, the details of the
refusal or denial including:
The reason(s) for the refusal or denial;
a. The name of each state
licensing authority that refused or denied issuing the applicant a license; and
b. The date(s) of refusal or
denial;
(6) Whether there has been any
disciplinary action taken against the auctioneer in any state, and if so,
provide a copy of the order and details of the disciplinary action including:
a. The reason(s) for the
disciplinary action(s);
b. The name of each state
licensing authority that has issued the disciplinary action;
c. The docket
number of the order;
d. The date(s) of disciplinary
proceedings; and
e. The penalties imposed,
including, but not limited to, fines, and dates of sanctions;
(7) Whether ever convicted of
any felony or misdemeanor involving theft, fraud, deceit, misrepresentation, or
other breaches of fiduciary duties, and, if so, the details including:
a. The type of offense;
b. The date of conviction;
c. The docket or case number
for each conviction or plea of guilty;
d. The name and address of the
court(s) issuing the decision(s);
e. Each resulting sentence,
penalty, fine or combination imposed;
f. A description of each
offense and the disposition of each such case; and
g. Whether all terms of the
sentence, penalty or fine have been fulfilled, and if not, an explanation of
why the terms have not been fulfilled;
(8) Whether there are, or have
been, any suits in any court involving theft, fraud, deceit, misrepresentation,
or other breaches of fiduciary duties, to which the applicant is a party, and
if so, the details including:
a. The date of the
suit/proceeding(s);
b. The type of action(s);
c. The docket or case
number(s);
d. The name and address of the
court(s) for the proceeding(s);
(9) Shall have reached the age
of 18 years of age by the date the board receives the application;
(10) Copy of a current
government issued photo ID; and
(11) A certified copy of the applicants criminal history record issued
within the 90 days prior to the date of the
application.
(b) The bond, extending at least for the term of
the license, required by RSA 311‑B:8 shall be attached to the license
application form.
(c) Each applicant shall submit recommendations
from 2 business references, such as but not limited to banker, accountant,
attorney, certifying the applicant is trustworthy and competent to auction
real, personal and mixed property in such a manner as to safeguard the
interests of the public. For any
applicant relying on reciprocity under RSA 311-B:6, the recommendations shall
come from 2 other licensed auctioneers in the state(s) where the applicant is
currently licensed, or New Hampshire.
(d) The reference shall have an acquaintance of
at least 3 months duration with the applicant, be familiar with past business
experience dealings of the applicant, and shall not be
related to the applicant.
(e) The recommendations shall include the length
of time the individual has known the applicant, a description of past business
dealings and experiences with the applicant, and any other background
information about the applicant known to the individual who is making the
recommendation.
(f) Each recommendation shall contain the
following:
(1) Name, address, and
telephone number of the reference;
(2) Extent of the sponsor's
acquaintanceship with the applicant;
(3) Familiarity with the past
business experience and dealings of the applicant;
(4) Such other knowledge of the
applicant and the applicant's background upon which the recommendation is
founded; and
(5) Date and signature of the
individual recommending the applicant.
(g) The applicant shall submit proof of
competence in one of the following 3 forms:
(1) An affidavit from the
supervising auctioneer or auctioneers certifying that the applicant has served
as an apprentice auctioneer for said auctioneer or auctioneers for a total
period of not less than 6 months and had participated in all phases of
auctioneering over the course of not less than a total of 10 auctions under
said auctioneer or auctioneer;
(2) A certificate of graduation
from an approved auctioneering school; or
(3) For non-resident applicants
only:
a. A certified copy of a valid
current auctioneer's license, held by the applicant from any other state whose
laws are sufficient for reciprocity under RSA 311-B:6, issued by the
appropriate state agency;
b. A letter of good standing
from said agency;
c. An affidavit proving
licensure for at least 6 months; and
d. Conduct of at least 10
auctions within the 5 year period of time immediately prior to the application.
(h) The apprenticeship affidavit shall contain
the following information:
(1) Name and address of both
the applicant and the supervising auctioneer;
(2) The auction name and type
of auction;
(3) The specific dates of
auctions worked;
(4) A description of the
responsibilities of the apprentice during the apprenticeship;
(5) A description of the
responsibilities of the apprentice at the specific auctions worked; and
(6) A statement of competency
established through the apprenticeship.
(i) The phases of auctioneering in which an
auctioneer on apprenticeship shall participate shall include the following
categories:
(1) Bid caller;
(2) Cashier;
(3) Scribe;
(4) Runner;
(5) Dealing with consignors;
(6) Preparation of flyers and
advertising;
(7) Auction set up;
(8) Tagging; and
(9) Lotting.
(j) For purposes of determining reciprocity the
board shall maintain a reciprocity list of states which the board has
determined have licensing requirements consistent with RSA 311-B:6 and these
rules. At the request of any applicant
for a license, the board shall review the requirements of any specific state(s)
not on the reciprocity list to determine whether said state(s) should be added
to this list. If the board determines
that any state’s licensing requirements no longer meet the requirements of RSA
311-B:6, the board may remove said state from the Reciprocity List.
(k) If required by Auc
303.01, the applicant shall submit a copy of the examination results from the
board of auctioneer’s examination taken within 6 months of the application
date.
(l) All forms shall be complete and shall be
signed and dated by the applicant in ink and notarized. All affidavits shall also be signed and dated
by the writer and notarized. Incomplete or non-notarized forms or applications
submitted without the recommendations, bonds, fees, or other necessary
attachments shall be returned to the applicant. All applications and
information therein shall be current.
(m) The applicant shall certify that:
(1) The applicant agrees to
comply with the requirements set forth in RSA 311-B, Auc
100-500, and other auction related laws or rules, and that the applicant
understands that violations of these laws and rules shall be grounds for
disciplinary proceedings against them;
(2) The application and the
information contained therein is true, accurate, and complete;
(3) That the application and
the information contained therein is public information under RSA 91-A unless
exempted by statute or court order;
(4) That the application and
information contained therein may be divulged by the board pursuant to RSA
311-B, and
(5) Shall acknowledge that any
false statement on the application form, or in the information contained
therein, is punishable as a misdemeanor pursuant to RSA 641:3.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
301.02 Non-Resident Information. The non‑resident application shall have
the same information as the resident application with the addition of a
power-of-attorney appointing the New Hampshire Secretary of State’s office as
said out of state auctioneer’s attorney for purposes of service of process in
New Hampshire.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
301.03 Licensing for Active Duty Military Spouses.
(a)
Each applicant for licensure who is a military spouse pursuant to RSA
332-G:7, III shall apply to the board for licensure on
an application for licensure form as specified in Auc
301.01 and pay the fee set forth in Auc 304.01.
(b)
Each applicant for facilitated licensing as a military spouse shall
provide a copy of the military member’s orders showing proof of active duty status.
(c)
Each applicant who applies for facilitated licensing as a military
spouse shall be eligible to obtain a facilitated license if the military spouse
is licensed or registered in another state or jurisdiction, provided that the
other state’s or jurisdiction’s licensure or
registration requirements are consistent with Auc
301.01.
(d)
Verification of licensure and examination shall be obtained by the
candidate for licensure and submitted to the board directly from the verifying
state or jurisdiction for approval.
(e) A military spouse who obtains a
facilitated license shall comply with all license renewal requirements pursuant
to Auc 401.01.
Source. #12201-B, eff 6-7-17
PART Auc 302
QUALIFICATION
Auc
302.01 Apprenticeships. For an affidavit of apprenticeship to be
accepted by the board under Auc 301.01(h)(1), an
apprenticeship shall be served under one or more auctioneers for a period of
not less than 6 months, with participation in all phases of auctioneering, as
described in Auc 301.01(j) over the course of not
less than 10 auctions under said auctioneers.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
302.02 Auctioneering Schools.
(a) For the purposes of this section, an
"instructional hour" means at least 50 minutes of classroom
instruction.
(b) For a certificate of graduation from an
auction school to be accepted by the board under Auc
301.01(h)(2), the applicant shall have successfully completed the program of an
auction school with:
(1) A minimum of 80 hours of
required classroom instruction including a minimum of 50 hours devoted to core
curriculum subject matter. The remaining
hours may be devoted to optional subject matter;
(2) Core curriculum subject
matter including bid calling, ethics, advertising, accounting procedures,
auction law, uniform commercial code, contracts and legal matters, closing
statements, and settlements. All of these
subjects shall be included and covered in the core curriculum; and
(3) Optional subject matter,
related to auctioneering, including, but not limited to, subjects such as,
antiques and furniture, real estate, environmental issues, computers, firearms,
bankruptcy sales, art, rugs and jewelry, body language, sale preparation, heavy
equipment and farm machinery, automobiles, livestock, public speaking, estate
auctions, personal appearance, auction bid assisting, and appraising.
(c) The applicant shall pass a written
examination, given by the school, with a minimum passing score of 75% to
receive a certificate of graduation.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
302.03 Standards for Approval of
Auctioneering Schools. In order to qualify as a board certified
auctioneering school, the auctioneering school shall provide a history of the
school and its qualifications as well as a list of intended instructors and
their qualifications, and a course curriculum and schedule to demonstrate that:
(a) The school requires a minimum number of hours
of course work in each of the following core curriculum subject areas as
indicated:
(1) Auctioneer ethics, 10
hours;
(2) Auction-related principles
of contract law, 4 hours;
(3) Auction-related provisions
of the Uniform Commercial Code, 2 hours;
(4) Auction closing statements
and accounting practices, 6 hours;
(5) Auctioneer presentation and
bid calling skills, 10 hours;
(6) Auction advertising
strategies, 6 hours;
(7) Auction logistics, 6 hours;
and
(8) Starting and operating an
auction business; 6 hours;
(b) The school offers the following course work
on an elective basis:
(1) Sales of antiques and
furniture, firearms, art, rugs, jewelry, automobiles, heavy equipment, farm
machinery, estates, and computers;
(2) Business liquidations,
including real estate and foreclosures, industrial and small business
liquidations, and farm and livestock liquidations;
(3) Auction related
environmental issues;
(4) Bankruptcy sales;
(5) Auction business practices
including sale preparation, and appraising;
(6) Personal attributes of
auctioneers such as body language, public speaking, and personal appearance;
and
(7) Auction bid assistance; and
(c) The board shall approve the school if it
determines that:
(1) The school demonstrates
compliance with (a)-(b) above; and
(2) The courses are led by
instructors with sufficient experience in and mastery of the subject matter of
the course.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
PART Auc 303
EXAMINATION
Auc
303.01 Written Examination.
(a) In addition to the requirements of RSA
311-B:5, each applicant, excluding applicants granted reciprocity under RSA
311-B:6 and Auc 301.01(h)(3), shall pass a written
examination in the following subject areas:
(1) State and federal statutes
and administrative rules relative to auctioneering,
including but not limited to the following:
a. RSA 311-B;
b. RSA 358-A:2, relative to
deceptive acts and practices;
c. RSA 358-G, relative to
regulation of auctions;
d. RSA 444:1, relative to liens
on personal property;
e. RSA 382-A:2-328, Uniform
Commercial Code Sale by Auction; and
f. NH Code of Administrative
Rules Auc 100 through 500;
(2) Generally accepted
accounting practices for buyer and seller, including, but not limited to, an
explanation of methods of recording sales, making lists of items sold,
consignor boards, costs, and net sales; and
(3) Auctioneering mathematics including calculating commissions,
premiums, consignor settlements, and costs of sales.
(b) The board shall administer the written
examination at least 4 times each year, with the dates to be established at the
November meeting.
(c) The board shall publish printed material
including but not limited to the examination dates for the current calendar
year, the examination registration form, tips for preparing for the license
examination, study materials and sample questions.
(d) The passing grade on the written examination
shall be at least 75% correct.
(e) The examination shall be taken only after the completion of one of the following requirements:
(1) An apprenticeship of at
least 6 months with a minimum of 10 auctions, as described in Auc 302.01; or
(2) Successful completion of an
auctioneering school as described in Auc 302.02.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17; amd
by #12450, eff 1-10-18
Auc
303.02 Written Examination
Registration.
(a) Applicants shall submit a completed
auctioneer licensing examination registration form to take the written
examination. The registrations for the
examination, including the $75 examination fee, shall be submitted to the board
at least 2 weeks prior to the examination date.
Qualifying applicants shall be mailed an admission ticket at least one
week prior to the examination date.
There will be no entry to the examination without this admission ticket
and photo identification.
(b) The registration form for admission to the
examination shall contain the following:
(1) Name, address, telephone
number email address of the applicant;
(2) Auctioneering school
attended, address and telephone number, if applicable, and date of
graduation;
(3) Name, address and telephone number of supervising auctioneers for
applicant's apprenticeship, if applicable, and date of completion of
apprenticeship;
(4) Requested examination date;
and
(5) Applicant’s signature and
date.
(c) Applicants who fail to attend an examination
for which they are scheduled shall be required to submit a new examination
registration form and fee if they desire to be rescheduled unless the applicant
furnishes written proof of inability to attend.
(d) Applicants who do not receive a passing grade
for the examination shall submit a new examination registration form and fee if
they desire to be rescheduled.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
303.03 Notice of Results. The board shall notify each applicant, in
writing only, of the results of said examination by section within 14 days of
the examination. Results shall not be
released by telephone. License application shall be within 6 months of passing
of the examination, otherwise the examination shall be retaken.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
PART Auc 304
FEES
Auc
304.01 License Fees.
(a) The fee for a New Hampshire auctioneer's
license shall be $200.00 per 2 year term.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17 (from Auc 305.01)
Auc
304.02 Renewal Fees.
(a) The fee for renewal of a
New Hampshire auctioneer's license shall be $200.00 per 2
year term.
(b) For any renewal submitted after the
expiration date as allowed by Auc 401.03, there shall
be an additional late fee of $100.00.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17 (from Auc 305.02)
Auc
304.03 Examination Fee. The fee for registration for the New
Hampshire auctioneer's licensing examination shall be $75.00. This fee includes the provision of a copy of
the auctioneer licensing bulletin.
Copies of pages of this document may also be obtained separately by
paying the per page copying fee specified in Auc
104.03.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17 (from Auc 305.03)
PART Auc 305
ISSUING OF LICENSE
Auc
305.01 License Number.
(a) On issuance of a New Hampshire auctioneer's
license, each licensee shall receive a license number which the licensee shall
retain as long as licensed and said license is renewed
pursuant to Auc 401.
(b) A license number
shall not be assigned to anyone other than to the person to whom it was
originally issued.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17 (from Auc 306.01)
CHAPTER Auc 400 CONTINUED STATUS
PART Auc 401
RENEWAL
Auc
401.01 Renewal Form.
(a) Each licensee seeking renewal shall submit a
renewal form containing the following information about the licensee, prior to
the license expiration date:
(1) License number;
(2) Name and date of birth;
(3) Residence and business
address and telephone numbers, and, if existing, email and website addresses;
(4) Whether licensed as an
auctioneer in other states, and if so, copies of those current licenses;
(5) Whether ever refused an
auctioneer's license in any state, and if so when, and the details of the
refusal or denial including:
a. The reason(s) for the
refusal or denial;
b. The name of each state
licensing authority that refused or denied issuing the applicant a license; and
c. The date(s) of refusal or
denial;
(6) Whether there has been any
disciplinary action taken against the auctioneer in any state, and if so,
provide a copy of the order and details of the disciplinary action including:
a. The reason(s) for the
disciplinary action(s);
b. The name of each state
licensing authority that has issued the disciplinary action;
c. The docket
number of the order;
d. The date(s) of disciplinary
proceedings; and
e. The penalties imposed,
including, but not limited to, fines, and dates of sanctions;
(7) Whether, in the time since
the last renewal application was submitted, the licensee has been convicted of
any felony or misdemeanor involving theft, fraud, deceit, misrepresentation, or
other breaches of fiduciary duties, and, if so, the details including:
a. The type of offense;
b. The date of conviction;
c. The docket or case number
for each conviction or plea of guilty;
d. The name and address of the
court(s) issuing the decision(s);
e. Each resulting sentence,
penalty and/or fine imposed;
f. A description of each
offense and the disposition of each such case; and
g. Whether all terms of the
sentence, penalty or fine have been fulfilled, and if not, an explanation of
why the terms have not been fulfilled;
(8) Whether, in the time since
the last renewal application was submitted, there are, or have been, any suits
in any court involving theft, fraud, deceit, misrepresentation, or other
breaches of fiduciary duties, to which the licensee is a party, and if so, the
details including:
a. The date of the
suit/proceeding(s);
b. The type of action(s);
c. The docket or case
number(s); and
d. The name and address of the
court(s) for the proceeding(s).
(b) The bond, extending at least for the term of
the license, required by RSA 311‑B:8 shall be filed with the board before
a renewal is issued.
(c) All forms shall be complete and shall be
signed and dated by the applicant in ink and notarized. All forms shall contain the certification set
forth in Auc 301.01(n). Incomplete forms submitted without the bonds,
fees, or other necessary attachments shall be returned to the licensee.
(d) The non-resident renewal form shall have the
same information as the resident renewal form with the addition of a
power-of-attorney appointing the New Hampshire Secretary of State’s office as
said out of state auctioneer’s attorney for purposes of service of process in
New Hampshire.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
401.02 Notice of Expiration. A renewal form shall be mailed to each
licensee's address of record at least 30 days in advance of the expiration of
his license.
Source. #1993, eff 3-31-82; ss by #2706, eff 5-10-84;
ss by #4093, eff 7-21-86; EXPIRED 7-21-92
New. #5441, eff 7-27-92; ss by #6658, eff 1-1-98,
EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
401.03 Reinstatement Licensure.
(a) If a license is not renewed before the
expiration date, then the license shall be deemed to have expired, and a
license may renew an expired license up to 6 months after its expiration date
by complying with the requirements of RSA 311-B:10 and Auc
401.01 and by submitting the required late fee as established by the board
under Auc 304.02(b).
(b) If an expired license is not renewed within 6
months under (a) above, then the license is deemed to have lapsed
and such person may obtain a license only by qualifying anew as an original
applicant. However, the board shall review a lapsed license within 30
days from the date of application.
(c) If a license expires or lapses as a result of
a person being ordered to active duty with the armed forces, the 6-month time
period for complying with the requirement of RSA 331-A:19 shall begin upon the
licensee's date of discharge or release from active duty, and the late fee
shall be waived.
(d) The rights of the licensee under such expired
or lapsed license shall be terminated. It shall be unlawful to act or
attempt or offer to act in any matter as an auctioneer under an expired or
lapsed license.
Source. #12201-B, eff 6-7-17
Auc 401.04 Active Duty
Military Inactive Status.
(a)
The board shall place an auctioneer on inactive status upon receipt of:
(1) A written request; and
(2) Proof of active duty
service in the Armed Forces of the United States.
(b)
The board shall return an auctioneer to active status upon receipt of:
(1) A renewal form that is complete, signed and
dated by the applicant in ink and notarized.
Incomplete forms submitted with the bonds, fees, or other necessary
attachments shall be returned to the licensee;
(2) The non-resident renewal form shall have the
same information as the resident renewal form with the addition of a
power-of-attorney appointing the New Hampshire Secretary of
State’s office as said out of state auctioneer’s attorney for purposes of
service of process in New Hampshire;
(3) Payment of the renewal
fee;
(4) The bond, extending at least for the term of
the license, required by RSA 311-B:8; and
(5) Proof that the licensee has not been
discharged from service in the Armed Forces of the United States for more than
one year.
Source. #12201-B, eff 6-7-17
CHAPTER Auc 500 ETHICAL STANDARDS
PART Auc 501
ETHICAL STANDARDS
Auc
501.01 Obligation To Obey. The ethical standards set forth in this part
shall bind all licensees, and violation of any such standard shall be a basis for imposing disciplinary sanctions. Conduct proscribed by these ethical
standards, when performed by an unlicensed person or during a prior period of
licensure, shall also be a basis for denying a license application.
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
Auc
501.02 Standards of Conduct.
(a) A licensee shall submit only truthful and correct information in any
application or other document filed with or statement made to the board.
(b) A licensee shall inform the board of a
principal business address to which all official board communications should be directed.
The establishment of a business address or the change or abandonment of
a business address shall be reported to the board within 30 days.
(c) If challenged by any person(s) prior to or
after an auction, the auctioneer shall show the identification card with his
license number, issued by the board, as evidence of licensure at any auction he
is conducting. The auctioneer of record shall at all auctions post
conspicuously at registration and check out his or her full name and official license number, the
name, address and telephone number of the board of auctioneers, and an 8.5” x
11” copy of his or her auctioneers license as issued by the board.
(d) The responsible auctioneer shall pay
consignors all sums due them for goods sold at auctions conducted by said auctioneer within 15 calendar days or at some other time
mutually agreed upon in writing by both parties, except as follows:
(1) A subsequent written
agreement signed by both parties may alter a payment schedule initially
established between the parties, but a licensee who does not pay in accordance
with a payment schedule which was in effect at the time payment was due shall
be subject to misconduct sanctions even if the consignor later consents to a
modification of the schedule;
(2) If a third
party claims or disputes the ownership of the goods sold, the monies
shall be placed in an escrow account, with an independent escrow agent pending
resolution of the claim, and
(3) If a third party brings
legal action against the auctioneer for payment to the consignor, the monies
shall be placed in an escrow account with an independent escrow agent pending
resolution of the claim.
(e) The responsible auctioneer
shall provide to the consignor
an accounting of each lot sold at auctions conducted by said auctioneer within
15 calendar days or at some other time mutually agreed upon in writing by both
parties. "Lot" means the
object or group of objects offered by an auctioneer for one money.
(f) All auction advertisements shall include the
name and license number, as shown on the license, of the responsible
auctioneer who plans to conduct the auction.
(g) Except when participating in auctions
exempted by RSA 311-B:13, any licensed New Hampshire auctioneer, who, in any
manner and to any extent, represents in New Hampshire an auctioneer who is not
licensed in New Hampshire, shall meet the following requirements:
(1) The New Hampshire licensed
auctioneer shall become the responsible auctioneer and shall include his/her
own name and license number in all advertisements for such auction; and
(2) The New Hampshire licensed
auctioneer shall be fully responsible for any representation, act, or failure
to act on the part of the auctioneer who is not licensed in New Hampshire;
including, but not limited to, providing an accounting, as described in Auc 501.02(d), to consignors and payment of all consignors.
(h) Any person attempting to subvert the purpose
of RSA 311-B by buying property for auction so as not to be literally selling
for another shall be required to comply with the licensing provisions of RSA
311‑B:4. Any advertisement of such
unlicensed auction shall be prohibited pursuant to RSA 358‑G:2(I).
(i) The responsible auctioneer listed in auction
advertisements shall be physically present at said auction. If the responsible auctioneer cannot, for
whatever reason, be present at the auction, another New Hampshire licensed
auctioneer shall be designated as the agent of the responsible auctioneer and
be present throughout the auction. The
responsible auctioneer shall still be the licensee fully responsible for the
conduct of the auction. However, the
designated agent shall be also held responsible for his own actions at the
auction, but this shall not relieve the liability of the responsible
auctioneer.
(j) Consignor's unsold property shall be returned
or made available to the owner of record within 15 calendar days of the
completion of the auction, unless otherwise agreed upon by both consignor and
the responsible auctioneer, or unless a dispute arises regarding ownership of
said property.
(k) The term "estate" shall only be
used in the heading of an advertisement when the majority of
lots or property being offered for sale during the auction is property of a
deceased person or persons or property of one or more
persons whose decision making is being performed by a
guardian or conservator.
(l) The responsible auctioneer shall keep such
records as to enable reconstruction of an auction in the event of a
complaint. Said records shall be kept
for a minimum of 2 years.
(m) The stated starting bid or stated minimum
bids in any public advertisement shall be no less the reserve amount.
(n) Any item advertised or conducted as an
absolute auction, an auction without reserve, or on any similar basis in which
there is no reserve or minimum bid set for the items shall comply with the
requirements of Auc 102.01(a).
(o) The owner of property being auctioned and any
designated person acting on behalf of the owner may only cast a total of one
bid on the property. The identity of the
owner or the designated person, and the intent to offer a bid on the property,
shall be disclosed to all registered bidders at the auction, prior to the
property being auctioned. The owner or
any designated person shall not bid on property in an absolute auction. An auctioneer shall not conduct an auction in
violation of this rule.
(p) The owner of property being auctioned may do
only one of the following:
(1) Give notice that the
auction is being conducted without reserve;
(2) Give notice that the owner
or a designated person may cast one bid on the property as set forth in Auc 501.02(o); or
(3) Give notice that the owner
reserves the right to reject all bids.
(q) In an absolute auction, the owner shall not
use any of these 3 techniques. An
auctioneer shall not conduct an auction in violation of this rule.
(r) For purposes of RSA 358-G:1(II), a bid
shall be considered fictitious if the person procuring it has the legal
authority to release the bidder from the obligation incurred by his/her
bid.
(s) Licensees may bid on their own behalf provided that this has been fully disclosed to the bidders
and the licensee has the intention to buy the item.
(t) If a bid is made 'while the hammer is
falling' in acceptance of a prior bid, the auctioneer may reopen the bidding or
declare the goods sold under the bid on which the hammer was falling.
(u) Regardless of the type of auction, a
bidder may always retract his/her bid at any time before an item sells (before
the hammer falls). A bidder’s retraction shall not revive any previous bid.
(v) An auctioneer, at his or her discretion, may
accept or refuse bids from anyone who lacks contractual legal capacity such as
a minor, an intoxicated person, or someone who is mentally incompetent.
(w) An auctioneer may reject or refuse to accept
bids that are considered trifling increases over the preceding bid.
(x) An auctioneer shall not call an item sold
unless he or she has a good faith belief that title to the property will
transfer to the successful bidder upon payment of the auction price.
(y) Any violation these standard of conduct, or any violation of New Hampshire
statutes shall be a violation of the code of ethics established by the board
through rulemaking in accordance with RSA 541-A, under RSA 311-B:11(II)(c).
Source. #6658, eff 1-1-98, EXPIRED: 1-1-06
New. #12201-B, eff 6-7-17
PART Auc 502
CONDUCT OF AUCTION; RECORDS.
Auc
502.01 Conduct of Auction; Records.
(a) No licensee shall accept an item for sale at
an auction without first having a written agreement with the owner or
authorized agent of any property to be sold.
The agreement shall contain the terms and conditions upon which the
auctioneer received the goods for sale, including but not limited to the
auctioneer’s commission rate, the auction date, an itemized
list of items accepted, and any minimum bids applicable to the auction. The licensee shall provide the owner with a
signed copy of the agreement and shall keep at least one copy for his own
records for 2 years from the date of the agreement. Copies of all contracts shall be made
available to the board or its designated agent during business hours.
(b) Each licensee shall maintain consignment
records and enter in them,
upon receipt of goods for auction and before sale, the name and addresses of
the person who employed the licensee to sell the goods at auction and the name
and address of the owner of the goods to be sold. The consignment record shall contain an
adequate description of the goods to be sold and shall be sufficient to
reasonably identify the items. Consignment records shall be available for
inspection by the board or its designated agent upon request.
(c) Each licensee shall maintain sales records
which identify the purchaser of all goods sold by name, address, and when
possible, telephone number. The sales
records shall contain an adequate description of the items sold and shall be
sufficient to positively identify the owner of the property. Sales records shall be maintained for a
period of not less than 2 years from the date of sale. Sales records shall be available for
inspection by the board or its designated agent upon request.
Source. #12201-B, eff 6-7-17; amd
by #12451, eff 1-10-18
PART Auc 503
ADVERTISING
Auc
503.01 Advertising.
(a) It shall be a violation of these rules to
advertise a bankruptcy sale unless the item(s) offered
for sale, whether real or personal, are from an active bankruptcy action.
Before conducting an auction as a bankruptcy sale the majority of the items in the sale shall come from the
bankruptcy of one or more parties. Other items not related to or from a
bankruptcy action may be sold with items from a bankruptcy action if
specifically disclosed at or before the time of the auction.
(b) It shall be a violation of these rules to
advertise any auction using such descriptive words as “Urgent,” “Emergency,”
“Distress”, or any other word which connotes liquidation of assets or that the
buyers will, for some extraordinary reason, be in a position to reap some
unusual bargain without specifically disclosing, in the written advertisement
in a print size equal to the descriptive word, the reason that the sale is
“urgent,” the nature of the “emergency,” or the cause of the “distress”.
(c) It shall be a violation of these rules to
advertise any auction using such descriptive words as “seized,” “confiscated,”
“forfeited,” or any other word which connotes a governmental action whereby
items are seized or taken by a government department, agency, or board and
released or sold or that the buyers will, for some governmental reason, be in a
position to reap some unusual bargain without specifically disclosing, in the
written advertisement in a print size equal to the descriptive word, the exact
nature of the government action.
(d) It shall be a violation of these rules to
advertise any items as being from an “estate” or a “bankruptcy,” or from an
“urgent,” “emergency,” “distress,” “seized,” “confiscated,” “forfeited,” or
similar sale, unless the consignor of the item(s) to be sold is the original
owner of the item(s), the designated representative of the owner, or a federal,
state or local department, agency or board charged with disposing of the
item(s), and consigned the item(s) directly to the advertised sale.
(e) It shall be a violation of these rules to:
(1) Reference the U.C.C. or any
other uniform act or federal or state law in any advertisement unless such act
or law is required, by law, to be referenced;
(2) Reference or mention any
federal, state, or local department, agency, or board in any advertisement
unless specifically required by law to do so or unless prior written approval
is received from such department, agency or board; or
(3) Otherwise connote in any
advertisement that the auction is under the auspices of, at the direction of,
or required by federal or state law or act or a federal, state, or local agency
or board and that the buyers will, for some legal or governmental reason, be in
a position to reap some unusual bargain.
(f) It shall be a violation of these rules to
advertise for sale items which the auctioneer/firm does not intend to offer for
sale at the advertised auction.
(g) It shall be a violation of these rules for an
auctioneer or auction firm to permit its name or license number to appear on any advertisement for an auction without reviewing the
content
Source. #12201-B, eff 6-7-17
APPENDIX
|
Rule |
Specific State
Statute the Rule Implements |
|
|
|
|
Auc
101.01 |
RSA 311-B:3 |
|
Auc 102.01(a), (b), (g), (i) through (k), (l), formerly (m), and (m), formerly (n) |
RSA
541-A:16, I(a) |
|
Auc 102.01(c) |
RSA
311-B:1, I |
|
Auc 102.01(d) |
RSA
311-B:1, II |
|
Auc 102.01(e) |
RSA
311-B:1, III |
|
Auc 102.01(f) |
RSA
311-B:1, IV |
|
Auc 102.01(h) |
RSA
311-B:1, V |
|
Auc 103.01 |
RSA 311-B:2 |
|
Auc 103.02
(formerly Auc 103.03) |
RSA 541-A:16,
I(a) |
|
Auc 103.03
(formerly Auc 103.04) |
RSA 311-B:3 |
|
Auc 104.01 |
RSA 91-A:2 |
|
Auc 104.02 through Auc 104.04 |
RSA 310:4, II(e)
|
|
Auc
105.01 |
RSA 311-B:2 |
|
Auc 201 |
RSA
541-A:16,I(b)-(d) |
|
Auc 301.01 - Auc 301.02 |
RSA 311-B:3; RSA
311-B:5; RSA 311-B:6; RSA 311-B:8; |
|
Auc 302.01 - Auc
302.02 |
RSA
311-B:3; RSA 311-B:5; RSA 311-B:6; RSA 311-B:8; |
|
Auc 302.03 |
RSA
311-B:3; RSA 311-B:5; RSA 311-B:6; RSA 311-B10 |
|
Auc 303.01 - Auc
303.03 |
RSA
311-B:3; RSA 311-B:5; RSA 311-B:6 |
|
Auc 304.01 - Auc
304.03 |
RSA
311-B:3; RSA 311-B:5; RSA 311-B:6; RSA 311-B:10 |
|
Auc 305.01 |
RSA
311-B:3 |
|
Auc 401.01 - Auc
401.03 |
RSA
311-B:3; RSA 311-B:8; RSA 311-B:10 |
|
Auc 402.01 - Auc
402.07 |
RSA
311-B:3; RSA 311-B:10 |
|
Auc 501.01 - Auc
501.02 |
RSA
311-B:11; RSA 358-G |
|
Auc 502.01 |
RSA
311-B:11; RSA 358-G |
|
Auc 503.01 |
RSA
311-B:11; RSA 358-G |
|
|
|