HQ 0224783 - Change of broker's name; 19 CFR 111.30(c); 19 U.S.C. 1641; 19 CFR 111.11(c)(2); 19 CFR 111.43. - United States International Trade Commision Rulings

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HQ 224783

July 13, 1993

BRO-3-02-CO:R:C:E 224783 AJS

CATEGORY: BROKERS

Ms. Suzanne Furr
Vice President
Southern Overseas Corporation
P.O. Box 19130
Charlotte, NC 28219

RE: Change of broker's name; 19 CFR 111.30(c); 19 U.S.C. 1641; 19 CFR 111.11(c)(2); 19 CFR 111.43.

Dear Ms. Furr:

Your ruling request of June 4, 1993, concerning the change of name on your broker's license has been referred to this office for reply.

FACTS:

The subject broker's license was received on August 23, 1973. You married on December 15, 1976, and have not requested that the license be changed to reflect your married name. Your request states that you do not transact Customs business in your name. You are employed by Wilmington Shipping Company (WSC) d/b/a Southern Overseas Corporation (SOC), and are on record as being the licensed corporate officer. You are authorized by SOC with a power of attorney to sign Customs documents on their behalf. SOC obtained a broker's license on September 12, 1991.

ISSUE:

Whether you are required to change the name on your broker's license.

LAW AND ANALYSIS:

The statutory provision governing customs brokers is found in section 641, Tariff Act of 1930, as amended (19 U.S.C. 1641). 19 U.S.C. 1641(a)(1) defines a customs broker
as any person granted a customs brokers license under 19 U.S.C. 1641(b). Customs broker's licenses for individuals are granted under 19 U.S.C. 1641(b)(2).

19 CFR 111.30(c) provides that a broker who changes his or her name shall submit evidence of his or her authority to use such name. Furthermore, the name shall not be used until the approval of the Commissioner has been received. This regulation indicates that Customs must be notified if a broker changes his or her name, and that Customs must also grant approval of such a name change before it may be used. In this case, the broker's license was issued in your maiden name. However, you changed your name upon becoming married but have maintained the broker's license under your maiden name. In our view, you are required to notify Customs of your name change and to obtain approval before it may be used.

Your request states that you do not conduct Customs business in your personal name. However, this fact is not determinative in this instance. The fact that you possess a legal name which is different than the one on your broker's license is determinative. The regulations clearly contemplate name changes of brokers and require notice to be given as well as approval sought before a new name may be used. Therefore, the fact that you do not conduct Customs business under your personal name does not negate your responsibilities under the regulations.

The correct name on your broker's license would also be of importance inasmuch as you are on record as the licensed corporate officer of SOC. 19 CFR 111.11(c)(2) requires a corporation to have at least one officer who is a licensed broker. I am sure you can appreciate the potential problems for Customs if the relevant corporate officer has a broker's license in a name which is different from his or her current legal name. For instance, which person would Customs hold responsible for supervision and control over the transaction of Customs business as required by 19 CFR 111.28.

Your request also states that you do not have a displayed permit in accordance with 19 CFR 111.43 in your personal name. In our view, this fact is also not determinative. As stated previously, a broker who changes his or her name is required to notify and seek the approval of Customs. Therefore, the fact of whether or not you have a displayed permit does not effect the requirements regarding a broker name change. In addition, each person granted a customs broker's license shall be issued a permit for each
customs district in which that person conducts customs business. 19 U.S.C. 1641(c)(1)(A). Accordingly, you should obtain a permit in your legal name for the district in which you conduct customs business.

We understand your sentimental and personal attachment to your original license, but I am sure that you can also understand Customs potential problems in allowing a broker to possess a license without his or her correct legal name. For example, both 19 CFR 111.21 and 111.22 require brokers to keep various records. If these records were under various names of the broker, a great deal of unnecessary confusion could be created. Consequently, we regret that your request to keep your original license cannot be honored.

HOLDING:

You are required to change the name on your broker's license. Please submit evidence of your authority to use the changed name pursuant to 19 CFR 111.30(c), as well as a request for approval to use this new name.

Sincerely,

John Durant, Director
Commercial Rulings Division

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