2006 April No.43 – BROKER COMPLIANCE


Which is NOT required to be included in the triennial status report?

A. A broker’s license number

B. The business name and address if the broker is a sole proprietor

C. The name and address of the employer if the broker is employed by another broker

D. A statement whether the broker is actively engaged in transacting business as a broker

E. The fee prescribed in 19 CFR 111.96(d)

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The Answer is: A

Citation: 19 CFR 111.30(d)

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