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October 2026, question 15

Broker Compliance · Broker licensing and duties

Upon the permanent termination of an individual broker’s brokerage business, what information must the broker include in his written notification to the processing Center?

  1. The name, address, email address, and telephone number of the party with legal custody of the brokerage business records
  2. The names and contact information of the business's clients
  3. A final triennial status report covering all of the brokerage business conducted from the last status report through the date of termination
  4. Records from the terminated business for all customs transactions over the previous six months
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CBP's answer: A. A: The name, address, email address, and telephone number of the party with legal custody of the brokerage business records

When a broker permanently terminates the brokerage business, 111.30(e) requires written notice to the processing Center of the name, address, email address and telephone number of the party who has legal custody of the business records. That is A. A final status report, client contact lists and six months of records are not part of that notice.

written notification of the name, address, email address and telephone number of the party having legal custody of the brokerage business records must be provided to the processing Center 19 CFR 111.30(e)

Search for: Custody of records

CBP's key cites: 19 CFR 111.30(e)

Question and key from CBP's October 2026 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).