Trust FundsIntermediateAlabama Exam

Under Alabama law, AREC may audit a broker's trust account:

AOnly after receiving a formal complaint
BAt any time, with or without noticeCorrect
COnly once every two years
DOnly with a court order

Why At any time, with or without notice Is Correct

Answer B: At any time, with or without notice

AREC has the authority to inspect and audit a broker's trust account at any time as part of its regulatory oversight, with or without advance notice.

Exam Tip: Trust Funds

Trust fund questions test the rules for handling client money. Know the deadlines for depositing trust funds, what constitutes commingling vs. conversion, and the penalties for violations.

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State-Specific Concepts

Trust Account RulesAREC Regulation

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