2014 April No.74 – Broker Compliance


A broker hires someone as an employee on March 15, 2013, whose broker license was revoked on February 5, 2002, with prejudice. Per CBP regulations, what is the next course of action?

A. The broker (employer) should send a letter to the CBP Assistant Commissioner requesting authorization to employ the personnel.

B. The employee should not accept employment until she sends a petition to the CBP Assistant Commissioner of the Office of International Trade requesting authorization to accept the employment with the broker, and the petition is approved.

C. The broker should do nothing, as the license was revoked over 5 years ago.

D. The broker may hire the employee, however, the employee must not receive a power of attorney to sign on behalf of the brokerage.

E. The broker should submit written notification to the Port Director with required information under 19 CFR 111.28(b)(1)(i) within 5 calendar days after the new employee has been employed by the broker for 60 consecutive days.

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The Answer is: B

Citation: 19 CFR 111.42 (a)(1) & (3); 19 CFR 111.79

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