Fines, Penalties & Forfeitures
October 2023 — Question 67
Which regulation provides for penalties against a broker as an alternate sanction to revocation or suspension of licenses for enumerated violations?
- A19 CFR 162.72
- B19 CFR Part 163
- C19 CFR 171, Appendix B
- D19 CFR 171, Appendix C✓ CBP's answer
Why this answer
Monetary penalties against brokers under 19 U.S.C. 1641 may be assessed as an alternative to revoking or suspending a license for the violations the statute enumerates, and the guidelines for imposing and mitigating those penalties appear in Appendix C to Part 171. Appendix B to the same part is the tempting near-miss, but it contains the guidelines for penalties under 19 U.S.C. 1592, the general false-statement statute, not the broker sanction scheme. Section 162.72 and Part 163 address penalty procedures and recordkeeping respectively, so neither supplies the alternate broker sanction. Choosing correctly between the two appendices turns entirely on knowing which statute each implements. Watch for: Picking Appendix B, which covers 1592 penalties, instead of Appendix C's broker-penalty guidelines.
Original CBLE Simulator explanation — the question and key above are CBP's; this analysis is ours. Verify against the current edition before relying on it in practice.
CBP's cited authority
Answer and citations as published in CBP's official answer key for the October 2023 examination.
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