New York

Standardized Operating Procedures for Prospective Buyers and Tenants — New York

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1. Purpose and Legal Basis

These Standardized Operating Procedures ("SOP") state the prerequisites that every prospective buyer and prospective tenant must meet before receiving real estate brokerage services from the Brokerage.

New York. This SOP is adopted pursuant to New York Real Property Law §442‑H(4), which requires each real estate broker to institute standardized operating procedures stating, at a minimum, whether prospective clients must show identification, whether an exclusive broker agreement is required, and whether pre-approval for a mortgage loan is required.

2. Scope and Application

This SOP applies to:

• Prospective clients: any person or entity seeking to buy or rent residential real property with the assistance of the Brokerage acting as that person's agent or broker.
• All licensees: every broker, associate broker, salesperson, and team affiliated with the Brokerage in New York.

No licensee or team may adopt, apply, or advertise procedures that differ from this SOP. This SOP applies uniformly to every prospective client, without exception, and does not vary based on any person's membership in any class protected under federal, state, or local fair housing laws.

This SOP does not govern services the Brokerage provides solely on behalf of a seller or landlord (for example, hosting an open house for a listing), where the Brokerage does not represent the prospective buyer or tenant.

3. Summary of Requirements

4. Procedure 1 — Identification (REQUIRED)

The Brokerage requires every prospective buyer and prospective tenant to present valid, unexpired, government-issued photo identification before the first in-person meeting, showing, or property tour.

• Acceptable identification includes a driver's license, state-issued identification card, passport, military identification card, permanent resident card, or other government-issued photo identification. Identification issued by a foreign government is accepted on the same terms as domestic identification.
• Purpose. Identification is required for the safety of clients, property owners, and licensees, and to confirm who the Brokerage is representing. It is not used to screen, evaluate, or qualify any person.
• How it is handled. The licensee will view the identification and record the type of document and the date it was viewed. The Brokerage does not keep a copy of the identification unless required by law or for a specific transaction (for example, a title or anti-money-laundering requirement), in which case it is stored securely and used only for that purpose.
• Every person, every time. Each adult who will attend a showing must present identification. This requirement applies to every prospective client equally.

5. Procedure 2 — Exclusive Buyer Broker Agreement (REQUIRED FOR BUYERS; NOT REQUIRED FOR TENANTS)

The Brokerage requires every prospective buyer to sign an exclusive buyer broker agreement before the Brokerage provides brokerage services, including touring any property in person or by live virtual tour. The Brokerage does not require prospective tenants to sign an exclusive tenant broker agreement.

• What the agreement covers. The written agreement will state, at a minimum: the services the Brokerage will provide; the term of the agreement and how it may be ended; the geographic area or property types covered; and, conspicuously, the amount or rate of compensation the Brokerage will receive or how that amount will be determined. The Brokerage will not receive compensation from any source that exceeds the amount stated in the agreement. Compensation is not set by law and is fully negotiable.
• Required disclosures come first. Before the agreement is signed, the licensee will provide the relationship and fair housing disclosures required in New York: the New York State agency disclosure form and the New York State Housing and Anti-Discrimination Disclosure form.
• Time to review. Prospective clients may take the agreement home, ask questions, and consult an attorney before signing. The licensee will explain the agreement's key terms, including exclusivity, in plain language.
• Initial consultation. A licensee may hold a brief introductory conversation (for example, answering general questions about the market or about this SOP) before the agreement is signed. For prospective buyers, no property tours, property-specific advice, negotiation, or offer preparation will be provided until the agreement is signed.

6. Procedure 3 — Mortgage Pre-Approval or Proof of Funds (REQUIRED BEFORE AN OFFER ONLY)

The Brokerage does not require a mortgage pre-approval or proof of funds before a client views property. The Brokerage requires one of the following before it submits any offer to purchase or any rental application on a client's behalf:

• Buyers financing a purchase: a current mortgage pre-approval letter from a lender of the buyer's choosing.
• Cash buyers: proof of funds sufficient to close, such as a recent bank, brokerage, or other account statement, or a letter from the financial institution.
• Tenants: the documentation the landlord or property manager requires with the rental application.

The client chooses the lender and may redact account numbers and other information not needed to show the amount available. The Brokerage uses these documents only to support the client's offer or application and shares them only with the client's permission.

7. Requirements Set by Sellers and Landlords

This SOP states only the Brokerage's own requirements for the clients it represents. A seller, landlord, or their listing agent may set additional requirements before showing a property or considering an offer, such as their own identification check, a pre-approval letter or proof of funds before a showing, or a rental application and fees. When the Brokerage represents a seller or landlord, it will impose such requirements only at that owner's written direction, and will apply them equally to every prospective buyer or tenant for that property.

8. Equal Treatment and Fair Housing

The Brokerage is committed to equal professional service. Every requirement in this SOP is applied in the same way, at the same stage, to every prospective client. No licensee may waive, add, or change a requirement for any individual.

The Brokerage complies with the federal Fair Housing Act, the New York State Human Rights Law, and all applicable local fair housing laws. The Brokerage does not discriminate on the basis of race, color, religion, sex (including sexual orientation and gender identity), national origin, familial status, disability, or any other characteristic protected under federal, New York, or local law, including, where applicable, age, marital status, military status, citizenship or immigration status, and lawful source of income.

A person who believes they have been treated differently may contact the Principal Broker at 347-248-6258 (office) or 407-739-5959 (additional number), or by email at rafael@ciinco.com. Complaints may also be filed with the U.S. Department of Housing and Urban Development, the New York State Department of State, or the New York State Division of Human Rights.

9. Posting, Availability, Amendments, and Records

• Where it is posted. This SOP is posted on every publicly available website and mobile application maintained by the Brokerage, and every website or application maintained by its affiliated licensees and teams. A printed copy is kept at the Brokerage's New York office and will be given to any member of the public on request, free of charge.
• Dating and notarization. This SOP is dated and notarized as shown below. Any amended version will be newly dated and notarized, and will replace the prior version everywhere it is posted.
• Effect of amendments. An amended SOP applies only to prospective clients who begin working with the Brokerage on or after the amended version's effective date.
• Records. The Brokerage keeps a file of this SOP and every prior version for as long as its broker license is active, and at least five years after any version is replaced.
• Compliance. Any licensee who fails to follow this SOP is subject to discipline by the Brokerage and may be subject to penalties under New York Real Property Law §441‑c.

10. Nature of This Document

This SOP is a statement of the Brokerage's business policy, adopted and binding on the Brokerage and all of its licensees. It is not itself a contract with any consumer, does not create an agency or brokerage relationship, and does not obligate any person to use the Brokerage's services. Any brokerage relationship is created only by a separate written agreement signed by the client and the Brokerage.

11. Broker Adoption and Attestation

I, the undersigned Principal / Qualifying Broker, adopt these Standardized Operating Procedures on behalf of the Brokerage, effective on the date stamped below, and certify that they apply to all licensees and teams affiliated with the Brokerage in New York.

The signed and notarized original is available as a PDF above and at the Brokerage’s New York office on request.

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