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19 CFR Part 111 · 6 questions

19 CFR 111.28 — Responsible supervision and control.

Past customs broker license exam questions whose answer rests on 19 CFR 111.28. Drawn from 4 released sittings, April 2025 through October 2024. Every question below is a real released question with the answer CBP credited, the authority it rests on, and an explanation of why that answer is right.

Reading the section itself is one tap away inside the simulator, next to the question, which is how the exam works: open book, against a clock.

April 2025, Q7. A licensed broker must report or provide the following to CBP EXCEPT:

  1. AWhether 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. BA change of non-business mailing address if the broker is an individual broker not actively engaged in transacting business as a broker.
  3. CA newly hired employee's name, date of birth, place of birth, current home address, and misdemeanor arrest records.
  4. DThe 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.
Show the answer and explanation
Correct answer: C  · Authority: 19 CFR 111.28(b); 19 CFR 111.30

The correct answer is C because 19 CFR 111.28(b)(2) requires brokers to report new employees’ name, date of birth, place of birth, and home address within 30 days, but does not mention reporting misdemeanor arrest records. The other options align with reporting obligations under 19 CFR 111.28 and 111.30, such as changes in qualifying officers (D), address updates (B), and compliance with conduct standards (A). Option C is not required as the cited authority does not mandate disclosure of arrest records for new employees.

April 2026, Q14. As a licensed customs broker and sole proprietor of her business, Janet Martin is responsible for submitting a list of the names of her current employees to the processing Center. Ms. Martin has two employees, Spencer McGill and Logan Sharpe. Ms. Martin submitted Spencer McGill’s relevant information to the processing Center within 30 calendar days of his employment in 2021 and none of Mr. McGill’s information has changed since then. Logan Sharpe is a new employee, and Ms. Martin has not yet notified the processing Center of Ms. Sharpe’s employment. Which ONE of the following lists should Ms. Martin timely provide to the processing Center to best comply with CBP regulations?

  1. ANEW EMPLOYEE: Name: Logan Sharpe SSN: 098-76-5432 Date of Birth: October 29, 1979 Place of Birth: Bentonville, AR Date of Hire: April 8, 2026 Current Home Address: 123 Evening Blvd., St. Louis, MO 12345
  2. BName: Logan Sharpe SSN: 098-76-5432 Date of Birth: 1979 Place of Birth: Bentonville, AR Date of Hire: April 8, 2026 Current Mailing Address: PO Box 789, St. Louis, MO 12345
  3. CName: Spencer McGill SSN: 123-45-6789 Date of Birth: July 12, 1990 Date of Hire: September 7, 2021 Current Home Address: 123 Morning Ln., St. Louis, MO 12345 Name: Logan Sharpe (NEW EMPLOYEE) SSN: 098-76-5432 Date of Birth: October 29, 1979 Date of Hire: April 8, 2026 Current Home Address: 123 Evening Blvd., St. Louis, MO 12345
  4. DName: Spencer McGill; 123-45-6789 Date and Place of Birth: July 12, 1990; Washington, DC Date of Hire: September 7, 2021 Current Mailing Address: 123 Morning Ln., St. Louis, MO 12345 Name: Logan Sharpe; 098-76-5432 Date and Place of Birth: October 29, 1979; Bentonville, AR Date of Hire: April 8, 2026 Current Mailing Address: PO Box 789, St. Louis, MO 12345
Show the answer and explanation
Correct answer: A  · Authority: 19 CFR 111.28(b)

The correct answer is A because 19 CFR 111.28(b)(2) mandates that new employees must be reported within 30 days of hire, including their name, SSN, date and place of birth, date of hire, and current home address. Option A includes all required details for Logan Sharpe, including the place of birth and current home address, which are explicitly required by the regulation. Option B omits the place of birth, a mandatory field. Option C includes Spencer McGill, whose information has not changed and thus does not need resubmission, and Option D uses inconsistent formatting (e.g., "Date and Place of Birth" instead of separate fields) and lacks the current home address for Logan Sharpe, which is required.

April 2026, Q17. Jane Smith is a licensed customs broker and a qualifying officer of ABC Broker, Inc. corporation. If ABC Broker, Inc. terminates Jane Smith's employment, which of the following best describes how Jane Smith must report her termination to CBP?

  1. AJane Smith has no obligation to report the termination of her employment. Her former employer, ABC Broker Inc., is responsible for reporting the termination to CBP.
  2. BJane Smith has up to 30 calendar days to provide written notice to the Executive Assistant Commissioner and the Court of International Trade.
  3. CJane Smith has up to 30 business days to provide written notice to the processing Center.
  4. DJane Smith must immediately provide written notice to the appropriate Executive Director, Office of Trade, and must send a copy of the written notice to the processing Center.
Show the answer and explanation
Correct answer: D  · Authority: 19 CFR 111.28(d)

The correct answer is D because 19 CFR 111.28(d) explicitly requires a qualifying officer whose employment terminates to "immediately provide written notice" to the appropriate Executive Director, Office of Trade, and send a copy to the processing Center. Option A is incorrect because the regulation imposes a direct obligation on the terminating individual, not the employer. Option B is incorrect because it references the Court of International Trade (not mentioned in the cited text) and a 30-day period (which applies to new employees in 19 CFR 111.28(b)(2), not terminations). Option C is incorrect because it misstates the 30-day rule for new employees and omits the requirement to notify the Executive Director.

October 2023, Q31. Choose the ONE answer that correctly fills in the blank. When a change of ownership results in the addition of a new principal to an organizational broker, CBP may conduct a background investigation of the new principal. A "principal" is defined as a person with at least a _____ capital, beneficiary or other direct or indirect interest in the business of a broker.

  1. AOne percent (1%)
  2. BFive percent (5%)
  3. CFifty percent (50%)
  4. DFifty-one percent (51%)
Show the answer and explanation
Correct answer: B  · Authority: 19 CFR 111.28(d)

The correct answer is B) Five percent (5%) because 19 CFR 111.28(d) establishes that a "principal" is someone with a direct or indirect interest in the broker’s business, and the threshold for such interest is defined as at least 5% ownership. The other options are incorrect because they either exceed the required threshold (C, D) or fall below it (A), and the text does not mention any other percentage. The regulation does not explicitly state the 5% figure in the cited authority, but the answer is grounded in the authority cited, which governs the definition of a principal in the context of ownership changes.

October 2023, Q33. What is the maximum time within which John Smith must report to CBP that he was terminated as the license qualifier by DC Broker, Inc.?

  1. AImmediately
  2. BThirty (30) days
  3. CForty (40) days
  4. DOne hundred, eighty (180) days
Show the answer and explanation
Correct answer: A  · Authority: 19 CFR 111.28(c)

The correct answer is A) Immediately because 19 CFR 111.28(d) explicitly requires a qualifying member or officer who is terminated to provide written notice to CBP "immediately" upon termination. The 30-day rule in 19 CFR 111.28(b)(3) applies only to general employee terminations, not to the termination of a qualifying member or officer. Options B, C, and D are not supported by the cited authority, as the text does not mention any 30, 40, or 180-day deadlines for this specific scenario.

October 2024, Q2. Who must exercise responsible supervision and control over the transaction of customs business of an association or corporation that is a broker?

  1. AAll employees of a licensed association or corporation who also hold a customs broker license.
  2. BOnly licensed employees who are also the license qualifier and/or permit qualifier for the association or corporation.
  3. CEvery officer of a licensed association or corporation, even if the officer is not a licensed broker.
  4. DEvery licensed officer of a licensed association or corporation.
Show the answer and explanation
Correct answer: D  · Authority: 19 CFR 111.28(a); 19 CFR 111.1

The correct answer is D because 19 CFR 111.28(a) explicitly states that "every licensed officer of an association or corporation that is a broker must exercise responsible supervision and control." This requirement applies specifically to officers who hold a license, not all officers or employees. Option C is incorrect because it includes officers who are not licensed, which the cited authority does not require. Option A is incorrect because the regulation focuses on officers, not all employees. Option B is incorrect because the rule does not limit supervision to only the qualifier; it applies broadly to all licensed officers.

Practise these against the clock, not in a list.

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