2025 April No.07 – Broker Compliance


7. A licensed broker must report or provide the following to CBP EXCEPT : (2025 April No.7 – Broker Compliance)

A) Whether the broker has not engaged in any conduct that could constitute grounds for suspension or revocation of an individual broker under 19 CFR 111.53.

B) A change of non- business mailing address if the broker is an individual broker not

C) A newly hired employee’s name, date of birth, place of birth, current home address, and misdemeanor arrest records.

D) The date a licensed brokerage member ceases to be the qualifying officer for purposes of 19 CFR 111.11(b) or (c)(2), and the name of the succeeding broker.

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The Answer is: C

Citation: 19 CFR 111.28(b); 19 CFR 111.30
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