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April 2025, question 7

Broker Compliance · Broker licensing and duties

A licensed broker must report or provide the following to CBP EXCEPT:

  1. 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.
  2. A change of non-business mailing address if the broker is an individual broker not actively engaged in transacting business as a broker.
  3. A newly hired employee's name, date of birth, place of birth, current home address, and misdemeanor arrest records.
  4. 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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CBP's answer: C. C: A newly hired employee's name, date of birth, place of birth, current home address, and misdemeanor arrest records.

The keyed answer is C. For new employees, 111.28(b) requires name, social security number, date and place of birth, date of hire and current home address; misdemeanor arrest records are not on that list. The other choices are things 111.30 requires, such as address changes and the date a qualifier ceases.

the broker must provide the name, social security number, date and place of birth, date of hire, and current home address 19 CFR 111.28(b)(1)
Within thirty (30) calendar days of the start of employment of a new employee(s) 19 CFR 111.28(b)(2)

Search for: date and place of birth, date of hire

CBP's key cites: 19 CFR 111.28(b); 19 CFR 111.30

Question and key from CBP's April 2025 exam and answer key. The walk-through is ours; quotes are from the pinned editions in the reference viewer (HTSUS 2026 Basic, 19 CFR 2025 edition).