TREC proposes an agreed order after finding that Broker Anderson failed to properly supervise a sponsored agent. Anderson accepts the order. Which of the following most accurately describes what an agreed order under TREC enforcement procedures typically contains?
Correct Answer
D) A combination of penalties that may include a fine, required CE, probation period, and specific corrective actions
Under TREC enforcement procedures, agreed orders are negotiated resolutions that typically combine multiple penalty types tailored to the nature and severity of the violation. For a supervision failure, an agreed order commonly includes a monetary fine, additional CE hours, a probation period, and specific corrective actions such as implementing written supervisory policies — not any single penalty in isolation.
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