1Amending the act of December 22, 1983 (P.L.327, No.85),
2entitled, as amended, "An act imposing regulations and
3licensing requirements on auctioneers, apprentice
4auctioneers, auction houses, auction companies and trading
5assistants; imposing powers and duties on the State Board of
6Auctioneer Examiners; and making repeals," further providing
7for the title of the act, for definitions, for auctioneer and
8apprentice auctioneer licenses, for status of existing
9licensees and for applications for initial and renewal
10licenses; providing for registration of trading assistants
11and trading assistant companies; further providing for
12special licensees to furnish bond and for authority to
13transact business not transferable; repealing provisions
14relating to auction house license, auction company license,
15trading assistant registration and nonresident licensees;
16further providing for reciprocity with other states;
17repealing provisions relating to licensee and registrant to
18furnish bond; and further providing for no other license or
19registration required, for list of licensees and registrants,
20for records of sales, for contracts for conduct of
21transaction, for display of licenses, for investigations and
22enforcement actions, for escrow account, for hearing on
23charges, for administration and enforcement, for revocation
24or suspension of license or registration, for issuance of new
25license or registration pending investigation and decision,
26for issuance of new license or registration after revocation,
27for penalties and for actions by unlicensed persons
28prohibited.

1The General Assembly of the Commonwealth of Pennsylvania
2hereby enacts as follows:

3Section 1.  The title and sections 2 and 3 of the act of
4December 22, 1983 (P.L.327, No.85), known as the Auctioneer
5Licensing and Trading Assistant Registration Act, amended
6October 8, 2008 (P.L.1080, No.89), are amended to read:

7AN ACT

8Imposing regulations and licensing requirements on auctioneers,
9apprentice auctioneers, auction [houses, auction] companies, 
10trading assistants and trading [assistants] assistant 
11companies; imposing powers and duties on the State Board of
12Auctioneer Examiners; and making repeals.

13Section 2.  Definitions.

14The following words and phrases when used in this act shall
15have the meanings given to them in this section unless the
16context clearly indicates otherwise:

17"Apprentice auctioneer."  [A person] An individual who is
18licensed under this act as an apprentice auctioneer.

19"Auction" or "sale at auction."

20(1)  The offer [to sell] for sale of property [by an
21auctioneer or apprentice auctioneer to the members of an
22audience congregated for the purpose of making bids for the
23purchase of the property] through the solicitation of bids 
24from one or more potential buyers in an effort [by the
25auctioneer or apprentice auctioneer] to advance the amount of
26the bids to obtain the highest or most favorable offer, 
27regardless of the venue or format utilized.

28(2)  The term "auction" or "sale at auction" includes:

29(i)  live auctions;

30(ii)  online auctions;

1(iii)  real-time auctions;

2(iv)  extended auctions; and

3(v)  any similar such events as may be devised with
4the development of technology, or otherwise involving the
5sale of property and the advancement of the price through
6a bidding process.

7(3)  The term "auction" or "sale at auction" excludes any
8sale conducted through an [online] Internet [bidding]
9competitive consignment sale platform.

10"Auction company."  [A company which, as part of its
11business, arranges, manages, sponsors, advertises or carries out
12auctions.] A legally recognized entity which sells or attempts 
13to sell property at auction or performs, or offers to perform, 
14any of the functions or activities requiring licensure as an 
15auction company under section 3(a)(1). The term includes any 
16legally recognized entity which holds itself out as engaged in 
17the business of selling property at auction.

18"Auction house."  An established place of business,
19including, but not limited to, an auction barn, a sale barn and
20a sale pavilion, where two or more auctions are held within any
2112-month period and where representations are regularly made
22that property is sold at auction. The term does not include
23premises where isolated or periodic sales are conducted by an
24auctioneer or auctioneer apprentice and which are used primarily
25for purposes other than auctions or sales at auction.

26"Auctioneer."  [A person] An individual who sells or offers
27or attempts to sell property at auction. The term includes [any
28person who holds] an individual who:

29(1)  Engages in or offers the calling for and recognition
30of bids at auction.

1(2)  Engages in or offers any of the activities of an
2auction company.

3(3)  Performs, or offers to perform, any of the functions
4or activities requiring licensure under section 3(a)(1).

5(4)  Holds himself out as engaged in the business of
6selling property at auction.

7"Auctioneer-of-record."  The licensed auctioneer designated
8by an auction company as its auctioneer-of-record. The
9auctioneer-of-record is principally responsible for the conduct
10of the auctions of the auction company in accordance with this
11act.

12"Board."  The State Board of Auctioneer Examiners [in the
13Department of State].

14"Commissioner."  The Commissioner of Professional and
15Occupational Affairs in the Department of State.

16"Department."  The Department of State.

17"Extended auction."  An auction or sale at auction conducted
18in whole or in part online at which bids are received over an
19extended period of time identified by a starting time and ending
20time that may encompass multiple minutes, hours, days or other
21periods.

22"Internet competitive consignment sale platform."  Hardware
23or software architecture that provides or enables computer
24access by multiple users to an interactive computer server for
25the purpose of allowing users to offer property for sale and
26that does not examine, set the price or prepare the description
27of the property to be offered.

28"Legally recognized entity."  A partnership, association,
29corporation, limited liability company or other entity
30recognized under the laws of this Commonwealth or any other

1state.

2"Licensee."  [A person licensed under this act including an
3auctioneer, apprentice auctioneer, holder of a special license
4and, in the case of an auction house or company, the person
5required to obtain the license.] An individual licensed under 
6this act as an auctioneer, apprentice auctioneer or holder of a 
7special license and a legally recognized entity licensed under 
8this act as an auction company.

9"Live auction."  An auction or sale at auction at which one
10or more members of an audience are present in person, are
11communicating telephonically or by other digital or electronic
12means or are participating by absentee bid.

13"Online auction."  An auction or sale at auction conducted
14over the Internet or similar interactive communication media.

15["Online Internet bidding platform."  Hardware or software
16architecture that provides or enables computer access by
17multiple users to an interactive computer server for the purpose
18of allowing users to offer property for sale and that does not
19examine, set the price or prepare the description of the
20property to be offered.]

21"On-site auction."  An auction or sale at auction conducted
22at the seller's residential or business location where the
23property to be sold is located.

24"Person."  An individual[, partnership, association,
25corporation, limited liability company or other] or a legally 
26recognized entity.

27"Property."  Real and personal property, including both 
28tangible and intangible personal property. The term includes,
29but is not limited to, domestic animals and farm products.

30"Qualified [auctioneer] sponsor."  A currently licensed

1auctioneer residing in this Commonwealth.

2"Real-time auction."  An auction or sale at auction at which
3bids are solicited and received contemporaneously, in real time.

4"Registrant."  A person registered under this act as a
5trading assistant or a trading assistant company.

6"Seller."  The owner of property, or the legal representative
7or agent of the owner of property, who consigns or otherwise
8agrees to have the property sold at auction or sale by auction
9or by way of an Internet competitive consignment sale platform.

10"Special licensee."  The holder of a special license issued
11pursuant to section 3.

12"Temporary venue."  A venue, including a rented hall, used
13primarily for other purposes, at which an auction or sale at
14auction is held by an auction company or an auctioneer,
15regardless of the frequency of the auctions or sales at auction.

16"Trading assistant."  An individual who, for a commission or
17fee, conducts or intends to conduct a business within this
18Commonwealth of accepting personal property [to sell] on 
19consignment from the owner or seller of the personal property to 
20be sold on behalf of [another] the owner or seller through an
21[online] Internet [bidding] competitive consignment sale
22platform, or who performs, or offers to perform, any of the 
23functions or activities requiring registration under section 
245.1(a).

25"Trading assistant company."  A legally recognized entity 
26that for a commission or fee, conducts or intends to conduct a 
27business within this Commonwealth of accepting personal property 
28on consignment from the owner or seller of such personal 
29property, to be sold on behalf of the owner or seller through an 
30Internet competitive consignment sale platform, or who performs, 

1or offers to perform, any of the functions or activities 
2requiring registration under section 5.1(a).

3Section 3.  Auctioneer [and], apprentice auctioneer, auctioneer 
4company and special licenses.

5(a)  Requirement for license.--[Notwithstanding section 10.1,
6it]

7(1)  It is unlawful for any person to engage in or carry
8on the business or profession of an auctioneer or an auction 
9company, to conduct [a] an auction or sale at auction, to
10hold himself out as an auctioneer or as an apprentice
11auctioneer, to hold itself out as an auction company or to
12offer to conduct auctions or sales at auction in this
13Commonwealth without first obtaining from the board a license
14as an auctioneer [or apprentice auctioneer. Any member,
15officer or employee of a partnership, association or
16corporation who attempts to sell at auction or who is
17actively engaged in the auction profession must have a 
18license as an auctioneer or apprentice auctioneer.], 
19apprentice auctioneer, auction company or special license.

20(2)  (i)  Without limiting the other provisions of this
21subsection, and regardless of whether the computer system
22or server utilized in connection with an online auction
23is physically located within this Commonwealth or outside
24this Commonwealth, a license under this act shall be
25required for any person offering to conduct or agreeing
26to conduct an online auction, or conducting an online
27auction, if:

28(A)  the seller or owner is situate in this
29Commonwealth at the time the offer is made, the
30agreement is made or the online auction is held;

1(B)  the online auction involves the sale of real
2property situate in this Commonwealth; or

3(C)  the online auction involves the sale of
4personal property situate in this Commonwealth at the
5time the offer is made, the agreement is made or the
6online auction is held.

7(ii)  Under this section licensure is not required
8under circumstances in which the owner or seller
9initiates contact with an auctioneer, auction company or
10other provider of auction services located outside of
11this Commonwealth to sell personal property at an online
12auction outside of this Commonwealth.

13(3)  Any owner, member, officer or employee of an auction
14company who engages in or offers the calling for and
15recognition of bids at an auction must have a license as an
16auctioneer or apprentice auctioneer.

17(4)  Licensees under this act shall be authorized to
18conduct auctions at any venue within this Commonwealth,
19including on-site auctions and auctions held at auction
20houses and temporary venues, and in any format, including
21live auctions and online auctions, whether real-time or
22extended, together with any and all related activities.
23Events constituting auctions and auction-related activities
24shall not be limited by technology existing as of the
25effective date of this paragraph.

26[(b)  Issuance and supervision of licenses.--It is the duty
27of the board, upon payment of the license fees required and upon
28compliance with the requirements of this act, to issue a license
29as an auctioneer or apprentice auctioneer to individuals or as
30an auctioneer to partnerships, associations and corporations who

1qualify under and comply with this act. The board shall
2supervise and control all licenses issued under this act.]

3(c)  Qualifications in general for license.--[Licenses]
4Auctioneer, apprentice auctioneer and special auctioneer 
5licenses shall be granted only to [persons] individuals who have
6a good reputation for honesty, truthfulness, integrity and
7competence to transact the business of an auctioneer or
8apprentice auctioneer in a manner as to safeguard the interest
9of the public and only after satisfactory proof of these
10qualifications has been presented to the board as required by
11this act and regulation.

12(d)  [Qualifications for apprentice] Apprentice auctioneer
13license.--To qualify for an apprentice auctioneer license, [a
14person] an individual must be sponsored and employed for
15compensation by a qualified [auctioneer] sponsor who employs no
16more than one other apprentice auctioneer.

17(e)  [Qualifications for auctioneer] Auctioneer license.--To
18qualify for an auctioneer license, [a person] an individual must
19have passed the prescribed examination after having:

20(1)  served an apprenticeship as a licensed apprentice
21auctioneer for a period of not less than two years in the
22employ of a qualified [auctioneer] sponsor and participated
23for compensation in no less than 30 auctions; or

24(2)  successfully completed a prescribed course of study
25in auctioneering of at least 20 credit hours at a school
26approved by the board.

27(e.1)  Auction company license.--

28(1)  Every legally recognized entity shall, before
29operating as an auction company, obtain an auction company
30license issued by the board.

1(2)  Every auction company shall designate an auctioneer-
2of-record. Each auction company licensed under this act shall
3designate an individual licensed as an auctioneer under this
4act to serve as the auction company's auctioneer-of-record.
5The designation of the auctioneer-of-record shall be made in
6the initial application for licensure as an auction company
7and in each application for renewal of an auction company
8license. The auctioneer-of-record may be an employee,
9independent contractor or other agent of the auction company,
10and there shall be no requirement that the auctioneer-of-
11record have an ownership interest in, or be an officer of,
12the auction company. The auctioneer-of-record is principally
13responsible for the conduct of the auctions of the auction
14company in accordance with this act. However, nothing in this
15act shall limit or restrict the ability of an auction company
16to utilize the services of one or more auctioneers in
17addition to the auctioneer identified as auctioneer of
18record, and it shall not be necessary for the auctioneer-of-
19record to be present at every auction conducted by the
20auction company, provided that a licensed auctioneer is
21present to conduct the activities required to be conducted by
22a licensed auctioneer under this act and to supervise any
23apprentice auctioneer. An auction company license becomes
24invalid if the license of the auctioneer-of-record is not
25renewed or is suspended or revoked or if the auctioneer-of-
26record becomes deceased or otherwise ceases to be the auction
27company's auctioneer-of-record without substitution by a
28successor auctioneer-of-record.

29(3)  Within 15 calendar days after an auction company's
30auctioneer-of-record ceases to serve as auctioneer-of-record,

1both the auction company and the auctioneer-of-record shall
2have the obligation to notify the board in writing of the
3termination of such status.

4(f)  [Qualifications for license reissued] Reissuance of 
5license after long inactivity.--Any [person] individual to whom
6an auctioneer or apprentice auctioneer license has been issued
7and who has been inactive as an auctioneer or apprentice
8auctioneer for a period of seven years without renewing the
9license issued to him shall be required to submit to and pass an
10examination approved by the board prior to having a license
11reissued to him.

12[(g)  Designation of auctioneer-of-record.--If the applicant
13for a license is a partnership, association or corporation, then
14a member of the partnership or association or an officer of the
15corporation, who is licensed in this Commonwealth as an
16auctioneer, must be designated as the auctioneer-of-record. The
17auctioneer-of-record is principally responsible for the conduct
18of the auctions of the partnership, association or corporation
19in accordance with this act. A partnership, association or
20corporation auctioneer license becomes invalid if the license of
21the auctioneer-of-record is not renewed or is suspended or
22revoked.]

23(g.1)  Special license to conduct auction.--An auctioneer or
24auction company authorized to engage in auctioneering in another
25state shall, on application and payment of the license fee, be
26issued a special license for each specifically identified
27auction conducted in this Commonwealth. Applications must be
28made 20 days in advance of the auction or sale at auction and
29must include the name and address of the consignor or owner of
30all items to be sold. All applications are subject to approval

1by the board and shall include proof of authority to engage in
2auctioneering in the other state.

3[(h)  Sales exempt from license requirements.--

4The requirement to obtain a license under this act does not
5apply to sales at auction in the following circumstances:

6(1)  To a specified single sale per year conducted by the
7owner of property if the owner is not engaged in the business
8of selling the property and if the property is owned by the
9person in an individual capacity.

10(2)  To a sale conducted by or on behalf of a charitable
11organization if the person conducting the sale receives no
12compensation therefor.

13(3)  To a sale conducted by or on behalf of a person
14appointed by judicial order or decree.

15(4)  To a sale conducted in the settlement of any
16decedent's estate.

17(5)  To a sale conducted by or under the direction of any
18public authority.

19(6)  To any sale required by law to be at auction.

20(i)  Special license to conduct auction.--An auctioneer
21authorized to engage in auctioneering in another state shall,
22upon application and payment of the license fee, be issued a
23special license for each auction conducted by him. Applications
24must be made 20 days in advance of the sale and must include the
25name and address of the consignor or owner of all items to be
26sold. All applications are subject to approval by the board and
27shall include proof of authority to engage in auctioneering in
28the other state.]

29Section 2.  The act is amended by adding a section to read:

30Section 3.1.  Sales exempt from license requirements.

1The requirement to obtain a license under this act does not
2apply to sales at auction in the following circumstances:

3(1)  To a specified single sale per year conducted by the
4owner of property if the owner is not engaged in the business
5of selling the property and if the property is owned by the
6person in an individual capacity.

7(2)  To a sale conducted by or on behalf of a charitable
8organization if the person conducting the sale receives no
9compensation therefor.

10(3)  To a sale conducted by or on behalf of a person
11appointed by judicial order or decree.

12(4)  To a sale conducted in the settlement of any
13decedent's estate conducted by the executor or administrator
14of the estate.

15(5)  To a sale conducted by or under the direction of any
16public authority.

17Section 3.  Section 4 of the act is amended by adding a
18subsection to read:

19Section 4.  Status of existing licensees.

20* * *

21(c)  Licensed auction houses.--An auction house license 
22issued under and pursuant to this act and existing on the 
23effective date of this paragraph shall remain in full force and 
24effect through February 28, 2014, at which time the license 
25shall expire and shall not be subject to renewal. Thereafter, 
26auction house licenses will no longer be issued or renewed in 
27this Commonwealth, and any holder of an auction house license as 
28of February 28, 2014, who is not also the holder of an auction 
29company license shall be required to obtain either an auction 
30company license or an auctioneer's license in order to continue 

1in the business and profession of auctioneering in this 
2Commonwealth.

3Section 4.  Section 5 of the act, amended October 8, 2008
4(P.L.1080, No.89), is amended to read:

5Section 5.  Applications for initial and renewal licenses.

6(a)  Application for auctioneer license.--Applications for
7license as an auctioneer shall be made to the board in writing
8[upon] on forms provided by the board which shall contain such
9information as [to the individual or, if the applicant is a
10partnership, association or corporation, as to its members or
11officers, as] the board requires. [If the applicant is an
12individual, the application shall be signed by that individual.
13If the applicant is a partnership or an association, the
14application shall be signed by a member. If the applicant is a
15corporation, the application shall be signed by an officer.] An
16application by a licensed apprentice auctioneer seeking to
17qualify on the basis of an apprenticeship shall contain or be
18accompanied by satisfactory evidence that the applicant was in
19the employ of a sponsor for at least two years and participated
20for compensation in not less than 30 auctions on the dates and
21at the locations provided by the applicant. Upon the filing of
22an application, the board shall investigate the allegations
23contained in the application and if, upon investigation, it
24finds the allegations untrue, it may refuse to examine or
25license the applicant or may revoke any license issued to the
26applicant on the basis of materially untrue allegations
27contained in the application for a license. The board shall set
28forth in writing its findings and reasons for its refusal or
29revocation and furnish a copy to the applicant.

30(b)  Application for apprentice auctioneer license.--

1Applications for license as an apprentice auctioneer shall be
2made to the board in writing [upon] on forms provided by the
3board which shall contain such information as to the applicant
4as the board requires. For license renewals, the licensee shall
5set forth the period of time, if any, during which [he] the 
6apprentice auctioneer was engaged in the auction profession,
7stating the name of [his present] the apprentice auctioneer's 
8current sponsor and any former sponsor for the period of five
9years immediately preceding the date of the renewal. If it
10becomes necessary to change sponsors, the apprentice auctioneer
11must notify the board by letter upon the termination of the
12sponsorship and submit a transfer form, provided by the board,
13when a new sponsor is obtained. An apprentice auctioneer license
14is invalid when there is no sponsoring auctioneer and credit
15does not accrue during that time. A license will be reissued
16when the apprentice auctioneer submits a transfer form which
17informs the board that [he] the apprentice auctioneer has
18secured a new sponsor.

19(b.1)  Application for auction company license.--Every
20legally recognized entity seeking an auction company license
21shall file with the board an application in writing on forms
22provided by the board which shall contain such information as to
23the applicant and as to the members or officers of the
24applicant, as the board shall require. Each application shall
25identify an auctioneer-of-record. On the filing of an
26application, the board shall investigate the allegations
27contained in the application and if, on investigation, it finds
28the allegations untrue, it may refuse to license the applicant
29to operate an auction company.

30(c)  [Examinations] Auctioneer examinations.--The board shall

1contract with a professional testing organization for the
2preparation and administration of the auctioneer examination, in
3accordance with section 812.1(a) of the act of April 9, 1929
4(P.L.177, No.175), known as The Administrative Code of 1929. [No
5person] Except as otherwise provided under this act or by 
6regulation, no individual may be issued an auctioneer license
7unless the [person] individual passes an examination approved by
8the board. The board shall hold examinations at locations, times
9and dates prescribed by regulation of the board.

10(d)  Issuance of new license after revocation.--In the event
11the license of an auctioneer or an apprentice auctioneer is
12revoked by the board subsequent to the effective date of this
13act, no new license may be issued to that person until he
14complies with all the provisions of this act.

15(e)  Expiration and renewal of license.--All licenses issued
16by the board shall be for a maximum term of two years and shall
17expire on the last day of February of each odd year. It is the
18duty of all persons licensed to practice as an auctioneer [or],
19apprentice auctioneer [or to operate as an auction house] or
20auction company to renew the license biennially with the board
21and to pay the license fee for each biennial license renewal.
22Applications for renewals of licenses issued under this act
23shall be made within 60 days prior to the expiration of the
24license [upon] on forms and in the manner provided by the board.

25(f)  Internet sales.--An applicant or licensee renewing a
26license under this section must indicate to the board whether or
27not sales will be conducted via an [online] Internet [bidding]
28competitive consignment sale platform.

29Section 5.  The act is amended by adding a section to read:

30Section 5.1.  Registration of trading assistants and trading

1assistant companies.

2(a)  Requirement for registration.---It shall be unlawful for
3an individual to act as a trading assistant, or for any legally
4recognized entity to act as a trading assistant company, for a
5sale, or offer to sell, conducted on an Internet competitive
6consignment sale platform without either first registering with,
7or obtaining licensure from, the board. A legally recognized
8entity conducting business as a trading assistant must register
9as a trading assistant company even though a member or officer
10is registered as a trading assistant. Registration is required
11on a biennial basis, and renewal shall be due on the last day of
12February of each odd year.

13(b)  Application.--Application for registration under this
14section shall include the following:

15(1)  The name of the applicant, the business and the
16physical location where the business will be conducted.

17(2)  The date the applicant will begin accepting goods
18for sale through an Internet competitive consignment sale
19platform.

20(3)  The applicant's Pennsylvania tax identification
21number.

22(4)  The applicant's e-mail address.

23(c)  Fee.--A registration fee of $100 shall be included with
24each application for registration or renewal. The fee may be
25established by the board by regulation.

26(d)  Renewal.--It is the duty of all registrants to renew the
27registration biennially with the board and to pay the fee for
28each biennial registration.

29Section 6.  Sections 7 and 8 of the act are amended to read:

30Section 7.  [Special licensees] Licensees and registrants to

1furnish bond.

2(a)  General rule.--[A] No license, including a special 
3license, or registration shall be granted or issued to any 
4person under this act until the applicant has filed with the 
5board an approved bond payable to the Commonwealth in the [penal
6sum] amount of $5,000 [shall accompany every application for a
7special license]. The bond shall be executed by a surety company
8authorized by the laws of this Commonwealth to transact business
9in this Commonwealth. The bond shall be for the use of the
10Commonwealth and for any person or persons who may have a cause
11of action against a licensee [arising] or registrant under this
12act.

13(b)  Conditions of bond.--The [conditions] condition of the
14bond shall be that the licensee, including a special licensee or 
15registrant, will comply with and abide by the provisions of this
16act and will pay to the Commonwealth, the board or any person or
17persons any and all money that may come due to the Commonwealth,
18the board or the person or persons from a licensee or registrant
19under and by virtue of this act.

20(c)  Action on bond.--If any person is aggrieved by the
21misconduct of any licensee, including a special licensee or 
22registrant and recovers judgment against the licensee or 
23registrant therefor, the person may on any execution issued
24under the judgment maintain an action upon the bond of the
25licensee or registrant in any court having jurisdiction of the
26amount claimed.

27Section 8.  Authority to transact business not transferable.

28The authority to transact business as an auctioneer,
29apprentice auctioneer[, auction house] or auction company
30licensed under [a license issued by the board] this act, or as a 

1trading assistant or trading assistant company registered under 
2this act, is restricted to the person named in the license or 
3registration and may not be transferred to the benefit of any
4other person. [A partnership, association or corporation
5licensed under this act is only permitted to transact auction
6business through a member, officer or employee who is licensed
7under this act.]

8Section 7.  Sections 9 and 10 of the act are repealed:
9[Section 9.  Auction house license.

10(a)  Requirement for license.--Every person, except an
11individual who is licensed as an auctioneer, shall, before
12operating an auction house, obtain a license from the board to
13operate the auction house. Every partnership, association or
14corporation must obtain a license even though a member or
15officer is licensed as an auctioneer.

16(b)  Application for license.--Every person seeking a license
17to operate an auction house shall file with the board an
18application in writing upon forms provided by the board which
19shall contain such information as to the individual or, if the
20applicant is a partnership, association or corporation, as to
21the members or officers, as the board requires. A person must
22file a separate application for each auction house to be
23operated. The application shall be accompanied by the license
24fee and surety bond required by this act.

25(c)  Investigation and refusal of license.--Upon the filing
26of an application, the board shall investigate the allegations
27contained in the application and, if, upon investigation, it
28finds the allegations untrue, it may refuse to license the
29applicant to operate an auction house.

30(d)  Information from auctioneer.--A licensed auctioneer who

1also operates an auction house shall notify the board in writing
2of the address of each auction house operated by him and of the
3trade or business name by which each auction house is known. The
4auctioneer shall notify the board in writing if the operation of
5the auction house is sold or discontinued or if the name or
6location of the auction house is changed.

7Section 10.  Auction company license.

8(a)  Requirement for license.--Every person, except an
9individual who is licensed as an auctioneer or an individual who
10is licensed to operate an auction house, shall, before operating
11an auction company, obtain a license from the board to operate
12the auction company. Every partnership, association or
13corporation must obtain a license even though a member or
14officer is licensed as an auctioneer.

15(b)  Application for license.--Every person seeking a license
16to operate an auction company shall file with the board an
17application in writing upon forms provided by the board which
18shall contain such information as to the individual or, if the
19applicant is a partnership, association or corporation, as to
20the members or officers, as the board requires. Each application
21shall be accompanied by the license fee and surety bond required
22by this act.

23(c)  Investigation and refusal of license.--Upon the filing
24of an application, the board shall investigate the allegations
25contained in the application and, if, upon investigation, it
26finds the allegations untrue, it may refuse to license the
27applicant to operate an auction company.

28(d)  Information from auctioneer or auction house.--A
29licensed auctioneer or an individual licensed to operate an
30auction house, who also operates an auction company, shall

1notify the board in writing that he is operating an auction
2company and shall specify the trade or business name and the
3address of the principal place of business of each auction
4company which he operates. The individual who is licensed as an
5auctioneer or to operate as an auction house shall notify the
6board in writing if the operation of the auction company is sold
7or discontinued or if the name or location of the auction
8company is changed.]

9Section 8.  Section 10.1 of the act, added October 8, 2008
10(P.L.1080, No.89), is repealed:

11[Section 10.1.  Trading assistant registration.

12(a)  Requirement for registration.--It shall be unlawful for
13any individual to act as a trading assistant for a sale
14conducted by competitive bidding without either first
15registering with or obtaining licensure from the board.
16Registration is required on a biennial basis.

17(b)  Application.--Application for registration under this
18section shall include the following:

19(1)  Name of the applicant, the business and the physical
20location where the business will be conducted.

21(2)  Date the applicant will begin accepting goods for
22sale through an online Internet bidding platform.

23(3)  Pennsylvania tax identification number.

24(4)  E-mail address.

25(c)  Fee.--A registration fee of $100 shall be included with
26each application for registration.]

27Section 9.  Section 11 of the act is repealed:

28[Section 11.  Nonresident licensees.

29(a)  General rule.--A nonresident of this Commonwealth may be
30licensed as an auctioneer or apprentice auctioneer or to operate

1an auction house or auction company upon complying with all the
2provisions and conditions of this act required of residents of
3this Commonwealth.

4(b)  Waiver of certain requirements.--The board may waive the
5requirement for serving an apprenticeship or completing a course
6of study in auctioneering if the nonresident was:

7(1)  licensed by another state for at least two years; or

8(2)  established in the business of auctioneering for at
9least two years and, in the case of states that do not
10require a license, the board reviews the application to
11determine the qualifications of the applicant.

12(c)  Limitation on type of property sold.--The nonresident
13auctioneer or apprentice auctioneer is only permitted to sell at
14auction in this Commonwealth whatever property the laws of his
15state permit nonresident auctioneers and apprentice auctioneers
16to sell at auction.

17(d)  Ineligibility to sponsor apprentices.--A nonresident
18auctioneer is not a qualified auctioneer for the purpose of
19sponsoring or employing an apprentice auctioneer.]

20Section 10.  Section 12 of the act is amended to read:

21Section 12.  Reciprocity with other states.

22(a)  [General rule.--A nonresident of this Commonwealth who
23applies for a license as an auctioneer or apprentice auctioneer
24may be granted a license for which he applies if he is licensed
25as an auctioneer or apprentice auctioneer by the proper
26authority of the state of his domicile,] Licensure by 
27reciprocity.--In accordance with regulations promulgated by the 
28board, a person who is licensed in good standing as an 
29auctioneer, apprentice auctioneer or auction company in another 
30state may on application to the board be granted licensure as an 

1auctioneer, apprentice auctioneer or auction company in this 
2Commonwealth upon the payment by the applicant of the proper
3[license] application fee and the filing with the board of a
4properly certified copy of the license issued to the applicant
5by the [state of his domicile, subject to the following
6limitations:

7(1)  The auctioneer licensing laws of the nonresident
8state must extend to licensed auctioneers and apprentice
9auctioneers of this Commonwealth the same rights and
10privileges and the same authority to conduct auction sales in
11that state as this act extends to nonresidents of this
12Commonwealth without the necessity of the licensed
13auctioneers and apprentice auctioneers of this Commonwealth
14to obtain additional or further licenses or authority from
15any political subdivision of that state to conduct an auction
16sale.

17(2)  The nonresident auctioneer or apprentice auctioneer
18is only permitted to sell at auction in this Commonwealth
19whatever property the laws of his state permit nonresident
20auctioneers and apprentice auctioneers to sell at auction.

21(b)  Bond.--The bond required by this act shall accompany the
22application.

23(c)  Change of nonresident status.--The movement from another
24state or jurisdiction to domicile in this Commonwealth
25eliminates the possibility of reciprocal licensing set forth in
26this section and the individual must qualify for a license under
27terms of this act which are applicable to residents of this
28Commonwealth.] applicant's current licensing state, provided 
29that:

30(1)  the requirements for licensure in the applicant's

1current licensing state are, in the determination of the
2board, commensurate with the requirements for licensure in
3this Commonwealth;

4(2)  the licensing laws of the applicant's current
5licensing state extend to licensees of this Commonwealth the
6same reciprocal rights and privileges in that state without
7the necessity of the licensees in this Commonwealth to obtain
8additional or further licenses or authority from any
9political subdivision of that state; and

10(3)  the applicant satisfies all other requirements of
11licensees and applicants for licensure in this Commonwealth,
12including the requirement to furnish a bond.

13(b)  Regulations governing reciprocity.--The board shall
14adopt regulations setting forth the requirements for licensure
15by reciprocity under this act.

16Section 11.  Section 13 of the act, amended October 8, 2008
17(P.L.1080, No.89), is repealed:

18[Section 13.  Licensee and registrant to furnish bond.

19(a)  General rule.--An auctioneer, apprentice auctioneer,
20auction company or auction house license or trading assistant
21registration shall not be granted or issued to any person until
22the applicant has filed with the board an approved bond payable
23to the Commonwealth in the amount of $5,000. The bond shall be
24executed by a surety company authorized by the laws of this
25Commonwealth to transact business in this Commonwealth. The bond
26shall be for the use of the Commonwealth and for any person or
27persons who may have a cause of action against a licensee or
28registrant under this act.

29(b)  Conditions of bond.--The condition of the bond shall be
30that the licensee or registrant will comply with and abide by

1the provisions of this act and will pay to the Commonwealth, the
2board or any person or persons any and all money that may come
3due the Commonwealth, the board or the person or persons from a
4licensee or registrant under and by virtue of this act.

5(c)  Action on bond.--If any person is aggrieved by the
6misconduct of any licensee or registrant and recovers judgment
7against the licensee or registrant therefor, the person may, on
8any execution issued under the judgment, maintain an action upon
9the bond of the licensee or registrant in any court having
10jurisdiction of the amount claimed.]

11Section 12.  Sections 14, 15, 16 and 17 of the act, amended
12October 8, 2008 (P.L.1080, No.89), are amended to read:

13Section 14.  No other license or registration required.

14No political subdivision of this Commonwealth shall have the 
15power or authority to levy or collect any license tax or fee 
16which is either a regulatory or a revenue measure upon or from 
17any [auctioneer or apprentice auctioneer or trading assistant 
18licensed or registered] licensee or registrant under this act 
19nor to require any [auctioneer or apprentice auctioneer] 
20licensee or registrant to be licensed by the political 
21subdivision in order to carry on the business of auctioneer 
22[or], apprentice auctioneer, auction company, trading assistant 
23or trading assistant company, or for an auctioneer or auction 
24company to conduct a sale at auction.

25Section 15.  List of licensees and registrants.

26The board shall maintain a current list of [any person
27licensed by or registered with the board] licensees and 
28registrants under this act. The list shall be posted on the
29department's Internet website and shall be subject to the act of
30February 14, 2008 (P.L.6, No.3), known as the Right-to-Know Law.

1Section 16.  Records of sales.

2(a)  General rule.--Every [auctioneer or trading assistant, 
3whether acting in his own behalf or as the officer, agent or 
4representative of another, after the receipt or acceptance by 
5him of] licensee and registrant under this act who receives or 
6accepts any property for sale at auction or sale through an 
7[online] Internet [bidding] competitive consignment sale 
8platform[,] shall maintain a written record which shall contain 
9the following information, provided that if the transaction is 
10being conducted by an auction company or a trading assistant 
11company, the records shall be maintained by the auction company 
12or trading assistant company:

13(1)  The name and address of the [person who employed him
14to conduct the transaction and of the] owner[, the owner's
15authorized agent or consignor] of the property to be sold or 
16the owner's authorized agent or representative.

17(2)  A copy of the written contract authorizing the
18transaction containing the terms and conditions of the
19transaction or a copy of the receiving invoice.

20(3)  A written record of the transaction.

21(b)  Inspection of records.--The records referred to in
22subsection (a) shall be open at all reasonable times for
23inspection by the board or any person who is authorized in
24writing for that purpose by the board and who exhibits the
25written authorization to the [auctioneer or trading assistant]
26licensee or registrant before making an inspection.

27(c)  Retention of records.--The written records shall be kept
28on file in the office of the [auctioneer or trading assistant]
29licensee or registrant for a period of [at least] not less than
30two years and, if the [auctioneer or trading assistant] licensee 

1or registrant is notified of a complaint against [him] the 
2licensee or registrant, the records shall be maintained [by the
3auctioneer or trading assistant] until the complaint is finally
4resolved.

5(d)  Receipts.--Every [auctioneer or trading assistant]
6licensee or registrant must provide a written receipt for all
7transactions[. A] conducted by the licensee or registrant, which
8receipt may be provided electronically. [Receipts] Copies of 
9receipts must be retained for [at least] not less than two
10years.

11Section 17.  Contracts for conduct of transaction.

12[(a)  General rule.--]Prior to conducting a transaction, [an
13auctioneer or trading assistant] a licensee or registrant shall
14enter into a written contract, in duplicate, with the owner or
15consignor of the property to be sold, containing the terms and
16conditions upon which the licensee or registrant agrees to
17conduct the sale. Each contract shall include the license or 
18registration number of the licensee or registrant conducting the 
19transaction. The contract may be entered into electronically.
20The contracts shall be kept on file in the office of the
21[auctioneer or trading assistant and shall be open to inspection
22as provided in this act. It is unlawful for a person to
23advertise an auction or sale at auction or a sale through an
24online Internet bidding platform without including in the
25advertisement or notice of sale the name and license number of
26the auctioneer, auction house or auction company or the
27registration number of the trading assistant conducting the
28transaction] licensee or registrant and shall be open to 
29inspection as provided in this act.

30[(b)  Penalty.--A person who violates subsection (a) commits

1a summary offense and shall, upon conviction, be sentenced to
2pay a fine not less than $50.]

3Section 13.  Sections 18 and 20 of the act are amended to
4read:

5Section 18.  Display of licenses and registration certificates.

6(a)  General rule.--Every [individual, partnership,
7association or corporation licensed as an auctioneer] licensee 
8and registrant under this act shall prominently display the
9[license] certificate [in their] of licensure or registration at 
10the licensee's or registrant's office, and the current [renewal]
11wallet card or any facsimile thereof issued to the licensee or 
12registrant shall be shown on demand of any person at all
13auctions or sales at auction conducted by any licensee or in 
14connection with any transaction conducted by any registrant.

15(b)  Apprentice auctioneers.--All auctioneers shall
16prominently display in their office the license certificate of
17any apprentice auctioneer employed by them and the current
18renewal card or any facsimile thereof of any apprentice
19auctioneer employed by them shall be available on demand at any
20sale in which an apprentice is employed. A license issued to an
21apprentice auctioneer shall designate his sponsor by name.
22Prompt notice in writing within ten days shall be given to the
23board by the apprentice auctioneer of any change of sponsor and
24of the name of the new sponsor into whose service the apprentice
25auctioneer is about to enter or has entered. A new license shall
26be issued without charge by the board to the apprentice
27auctioneer for the unexpired term of the original license. The
28new sponsor shall be a qualified [auctioneer] sponsor. The
29change of sponsor or employment by any licensed apprentice
30auctioneer without notice to the board shall automatically

1cancel the license issued to him. It is the duty of the sponsor
2named in the license to notify the board within ten days of any
3change in status of an apprentice licensed under him. It is
4unlawful for an apprentice auctioneer to pay compensation to an
5auctioneer for the sole purpose of listing the apprentice as an
6employee.

7[(c)  Suspension or revocation of license for violation.--The
8violation of this section by any licensee is sufficient cause
9for the suspension or revocation of his license at the
10discretion of the board after a hearing in accordance with this
11act.]

12Section 20.  Investigations and enforcement actions.

13(a)  General rule.--The board may, upon its own motion, and
14shall, promptly upon the verified complaint in writing of any
15person setting forth specifically the wrongful act or acts
16complained of, investigate any action or business transaction of
17any person licensed or registered by the board and may
18temporarily suspend or permanently revoke licenses or 
19registrations issued by the board or impose a civil penalty not
20exceeding $1,000 at any time when, after due proceedings
21provided in this act, it finds the licensee or registrant to
22have been guilty in the performance or attempt to perform any of
23the acts prohibited to others than licensees or registrants
24under this act, as follows:

25(1)  Knowingly making any substantial misrepresentation.

26(2)  Knowingly making any false promise of a character
27likely to influence, persuade or induce.

28(3)  A continued or flagrant course of misrepresentation
29or making false promises through agents or apprentice
30auctioneers.

1(4)  Within five years prior to the issuance of the
2license then in force, conviction in a court of competent
3jurisdiction in this or any other state or in Federal court
4of forgery, embezzlement, obtaining money under false
5pretenses, extortion, conspiracy to defraud or other like
6offense or offenses.

7(5)  Any failure to account for or to pay over moneys
8belonging to others which have come into his or its
9possession arising out of a sales transaction within a
10reasonable time.

11(6)  Any misleading or untruthful advertising.

12(7)  Any act or conduct in connection with a sales
13transaction which demonstrates incompetency, bad faith or
14dishonesty.

15(8)  Knowingly using false bidders, cappers or puffers.

16(9)  Violating any of the provisions of this act.

17(10)  Violating any regulation of the board.

18(11)  Having his license to engage in the auction
19profession revoked or suspended or having other disciplinary
20action taken or his application for licensure refused,
21revoked or suspended by the proper licensing authority of
22another state.

23(12)  [Failing] The failure of a licensee or registrant 
24who receives moneys on account of others to establish or 
25maintain an escrow account as required in section 21.

26(13)  For any licensed auctioneer or apprentice
27auctioneer to bid and buy for himself at any auction he is
28conducting.

29(14)  For any [licensed auctioneer or apprentice
30auctioneer] licensee or registrant to pay any compensation in

1money or other valuable thing to any person other than a
2[licensed auctioneer or apprentice auctioneer] licensee or 
3registrant for the rendering of any service or the doing of
4any of the acts by this act forbidden to be rendered or
5performed by other than licensees.

6(15)  For a licensee or registrant to advertise an
7auction or sale at auction or a sale through an Internet
8competitive consignment sale platform without including in
9the advertisement or notice of sale the name and the license
10or registration number of the licensee or registrant
11conducting the transaction.

12(b)  Notice of charges.--Before refusing, suspending or
13revoking any license or registration, the board shall, in
14writing, notify the applicant [or], licensee or registrant of
15the charges or allegations against him[, accompanying the notice
16with a copy of the complaint filed, if any], and the board shall
17accord the applicant [or], licensee or registrant ample
18opportunity to be heard in person or by counsel.

19Section 14.  Section 21 of the act, amended October 8, 2008
20(P.L.1080, No.89), is amended to read:

21Section 21.  Escrow account.

22Every [auctioneer] licensee and registrant shall
23[immediately] promptly deposit moneys[,] received from the sale
24of property[,] belonging to [others] the seller or consignor in
25a separate custodial or trust fund account maintained by the
26[auctioneer or trading assistant] licensee or registrant until
27the transaction involved is terminated, at which time the
28[auctioneer or trading assistant] licensee or registrant shall
29account for the full amount received. Such moneys received by an 
30auctioneer, apprentice auctioneer or trading assistant working 

1for an auction company or trading assistant company shall be 
2promptly turned over to such company for deposit and accounting.

3Section 15.  Sections 22 and 23 of the act are amended to
4read:

5Section 22.  Hearing on charges.

6(a)  General rule.--If the applicant [or], licensee or 
7registrant desires, the board shall grant a hearing upon the
8charges. The said hearings may be held by the board or any
9member thereof or by any other person duly authorized by the
10board for such purpose in any particular case.

11(b)  Report of hearing officer.--If the hearing is held by a
12member of the board or by a person authorized by the board, a
13written report of the hearing shall be made to the board.

14(c)  Action on report of hearing officer.--The board may
15adopt the findings in the report or may, with or without
16additional testimony, either return the report for any further
17consideration the board deems necessary or make additional or
18other findings of fact on the basis of all the legally probative
19evidence in the record and enter its findings of fact and
20conclusions of law and order in accordance with the requirements
21for the issuance of an adjudication under [Title 2 of the
22Pennsylvania Consolidated Statutes] 2 Pa.C.S. (relating to
23administrative law and procedure).

24Section 23.  Administration and enforcement.

25(a)  Administration and enforcement.--The board shall
26administer and enforce this act.

27(b)  Issuance and supervision of licenses.--It is the duty of
28the board, on payment of the required fee and on compliance with
29the requirements of this act, to issue a license as an
30auctioneer, apprentice auctioneer or auction company and to

1issue registrations to trading assistants and to trading
2assistant companies. The board shall supervise and control all
3licenses and registrations issued under this act.

4Section 16.  Sections 26(c), 27, 28 and 29 of the act,
5amended October 8, 2008 (P.L.1080, No.89), are amended to read:

6Section 26.  Revocation or suspension of license or
7registration.

8* * *

9(c)  Revocation of license or registration of legally 
10recognized entity for violation by member or officer.--In the
11event of the revocation or suspension of the license or 
12registration issued to any member of a partnership or to any
13officer of an association [or], corporation, limited liability 
14company or other entity, the license or registration issued to
15the [partnership, association or corporation] legally recognized 
16entity shall be revoked by the board unless, within a time fixed
17by the board, the connection of the member of the partnership is
18severed and his interest in the partnership and his share in its
19activities brought to an end or the officer of the association
20[or], corporation, limited liability company or other entity is
21discharged and has no further participation in its activities.

22Section 27.  Issuance of new license or registration pending
23investigation and decision.

24Pending an investigation or proceeding before the board
25affecting any licensee or registrant and pending final decision
26upon any appeal taken by a licensee or registrant from the
27ruling of the board, no new registration may be issued or
28license may be issued to a licensee or to a partnership of which
29he is a member or employee or to an association [or],
30corporation, limited liability company or other entity of which

1he is an officer or employee except for the period of the
2investigation or proceeding and subject to the action of the
3board.

4Section 28.  Issuance of new license or registration after
5revocation.

6(a)  General rule.--After the revocation of any license or
7registration, no new license or registration may be issued to
8the same licensee or registrant within a period of at least [one
9year] five years from the date of the revocation nor, except in
10the sole discretion of the board and subject to the conditions
11of this act, at any time thereafter.

12(b)  Criminal conduct.--No license or registration shall be
13issued by the board to any person known by it to have been,
14within five years, convicted of forgery, embezzlement, obtaining
15money under false pretenses, extortion, criminal conspiracy to
16defraud or other like offense, or to any copartnership of which
17any person is a member or to any association [or], corporation, 
18limited liability company or other entity of which any person is
19an officer or employee or in which as a stockholder any person
20has or exercises a controlling interest either directly or
21indirectly.

22Section 29.  Penalties.

23(a)  Criminal penalties.--Any person who engages in or
24carries on the profession or acts in the capacity of an
25auctioneer, apprentice auctioneer, [auction house,] auction
26company, trading assistant or trading assistant company in this
27Commonwealth without a current license or registration or who
28employs any [person] individual without a current license or 
29registration as an auctioneer, apprentice auctioneer or trading 
30assistant:

1(1)  For a first offense, commits a summary offense and
2shall, upon conviction, be sentenced to pay a fine not
3exceeding $500 or to imprisonment not exceeding three months,
4or both.

5(2)  For a second or subsequent offense, commits a
6misdemeanor of the third degree and shall, upon conviction,
7be sentenced to pay a fine of not less than $2,000 but not
8more than $5,000 or to imprisonment for not less than one
9year but not more than two years, or both.

10(b)  Civil penalty.--In addition to any other civil remedy or
11criminal penalty provided for in this act, the board, by a vote
12of the majority of the maximum number of the authorized
13membership of the board as provided by law or by a vote of the
14majority of the duly qualified and confirmed membership or a
15minimum of four members, whichever is greater, may levy a civil
16penalty of up to [$1,000] $10,000 on any person who engages in
17the business or practice of auctioneering, or acts as a trading 
18assistant or trading assistant company, without being properly
19licensed or registered to do so under this act. The board shall
20levy this penalty only after affording the accused party the
21opportunity for a hearing, as provided in [Title 2 of the
22Pennsylvania Consolidated Statutes] 2 Pa.C.S. (relating to
23administrative law and procedure).

24(c)  Failure to register.--Any individual who fails to
25register under section [10.1] 5.1 may be subject to a penalty of
26up to $500 levied by the commissioner. The individual may
27request a hearing before the board, which shall be conducted in
28accordance with 2 Pa.C.S.

29Section 17.  Section 30 of the act is amended to read:

30Section 30.  Actions by unlicensed or unregistered persons

1prohibited.

2No action or proceeding may be instituted and no recovery may
3be had in any court of this Commonwealth by any [individual,
4partnership, association or corporation] person for compensation
5for any act done or services rendered the doing or rendering of
6which is prohibited under this act to other than persons
7licensed or registered by the board, unless the [individual,
8partnership, association or corporation] person was licensed or 
9registered at the time of doing the act or rendering of service.

10Section 18.  This act shall take effect in 60 days.