2014 October No.68 – Broker Compliance


Which is NOT required to be in the triennial status report for an individual broker?

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 his or her employer if the broker is employed by another broker

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

E. The status report fee

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The Answer is: A

Citation: 19 CFR 111.30(d) and 111.96(d)

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