[Code of Federal Regulations]

[Title 19, Volume 1]

[Revised as of April 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 19CFR111.0]



[Page 505-506]

 

                        TITLE 19--CUSTOMS DUTIES

 

   CHAPTER I--BUREAU OF CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF 

              HOMELAND SECURITY; DEPARTMENT OF THE TREASURY

 

PART 111_CUSTOMS BROKERS--Table of Contents

 

Sec.  111.0  Scope.









Sec.

111.0 Scope.



                      Subpart A_General Provisions



111.1 Definitions.

111.2 License and district permit required.

111.3 [Reserved]

111.4 Transacting customs business without a license.

111.5 Representation before Government agencies.



             Subpart B_Procedure To Obtain License or Permit



111.11 Basic requirements for a license.

111.12 Application for license.

111.13 Written examination for individual license.

111.14 Investigation of the license applicant.

111.15 Issuance of license.

111.16 Denial of license.

111.17 Review of the denial of a license.

111.18 Reapplication for license.

111.19 Permits.



        Subpart C_Duties and Responsibilities of Customs Brokers



111.21 Record of transactions.

111.22 [Reserved]

111.23 Retention of records.

111.24 Records confidential.

111.25 Records must be available.

111.26 Interference with examination of records.

111.27 Audit or inspection of records.

111.28 Responsible supervision.

111.29 Diligence in correspondence and paying monies.

111.30 Notification of change of business address, organization, name, 

          or location of business records; status report; termination of 

          brokerage business.

111.31 Conflict of interest.

111.32 False information.

111.33 Government records.

111.34 Undue influence upon Treasury Department employees.

111.35 Acceptance of fees from attorneys.

111.36 Relations with unlicensed persons.

111.37 Misuse of license or permit.

111.38 False representation to procure employment.

111.39 Advice to client.

111.40 Protests.

111.41 Endorsement of checks.

111.42 Relations with person who is notoriously disreputable or whose 

          license is under suspension, canceled ``with prejudice,'' or 

          revoked.

111.43-111.44 [Reserved]

111.45 Revocation by operation of law.



Subpart D_Cancellation, Suspension, or Revocation of License or Permit, 

        and Monetary Penalty in Lieu of Suspension or Revocation



111.50 General.

111.51 Cancellation of license or permit.

111.52 Voluntary suspension of license or permit.

111.53 Grounds for suspension or revocation of license or permit.

111.54 [Reserved]

111.55 Investigation of complaints.

111.56 Review of report on investigation.



[[Page 506]]



111.57 Determination by Assistant Commissioner.

111.58 Content of statement of charges.

111.59 Preliminary proceedings.

111.60 Request for additional information.

111.61 Decision on preliminary proceedings.

111.62 Contents of notice of charges.

111.63 Service of notice and statement of charges.

111.64 Service of notice of hearing and other papers.

111.65 Extension of time for hearing.

111.66 Failure to appear.

111.67 Hearing.

111.68 Proposed findings and conclusions.

111.69 Recommended decision by hearing officer.

111.70 Additional submissions.

111.71 Immaterial mistakes.

111.72 Dismissal subject to new proceedings.

111.73 [Reserved]

111.74 Decision and notice of suspension or revocation or monetary 

          penalty.

111.75 Appeal from the Secretary's decision.

111.76 Reopening the case.

111.77 Notice of vacated or modified order.

111.78 Reprimands.

111.79 Employment of broker who has lost license.

111.80 [Reserved]

111.81 Settlement and compromise.



             Subpart E_Monetary Penalty and Payment of Fees



111.91 Grounds for imposition of a monetary penalty; maximum penalty.

111.92 Notice of monetary penalty.

111.93 Petition for relief from monetary penalty.

111.94 Decision on monetary penalty.

111.95 Supplemental petition for relief from monetary penalty.

111.96 Fees.



    Authority: 19 U.S.C. 66, 1202 (General Note 3(i), Harmonized Tariff 

Schedule of the United States), 1624, 1641.

    Section 111.3 also issued under 19 U.S.C. 1484, 1498;

    Section 111.96 also issued under 19 U.S.C. 58c, 31 U.S.C. 9701.



    Source: T.D 00-17, 65 FR 13891, Mar. 15, 2000, unless otherwise 

noted.





    This part sets forth regulations providing for the licensing of, and 

granting of permits to, persons desiring to transact customs business as 

customs brokers, including the qualifications required of applicants, 

and the procedures for applying for licenses and permits. This part also 

prescribes the duties and responsibilities of brokers, the grounds and 

procedures for disciplining brokers, including the assessment of 

monetary penalties, and the revocation or suspension of licenses and 

permits.