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HQ 116360

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December 15, 2004

BRO-3-RR:IT:EC 116360 IDL

CATEGORY: BROKERS

Port Director
U.S. Customs and Border Protection
10 Causeway Street
Boston, Massachusetts 02222

RE: Use of customs brokers’ legal name without trade or fictitious name; 19 CFR 111.30(c)

Dear Sir or Madam:

This is in response to a request for internal advice, dated November 16, 2004, concerning JAS Forwarding (USA), Inc., and the obligation of customs brokers to include on U.S. Customs and Border Protection (CBP) documents any assumed names authorized by CBP.

FACTS:

JAS Forwarding (USA), Inc. (“JAS”), a licensed customs broker, has received permission from CBP Headquarters (Broker Management of the Office of Field Operations) to use the assumed name “JAS Forwarding Worldwide”. The Port of Boston has advised JAS that it must now use both its true corporate name and the assumed name on all CBP documents. JAS disagrees and contends that it should have the discretion to include its assumed name on CBP documents. Consequently, pursuant to section 177.11, CBP Regulations (19 CFR § 177.11), JAS seeks internal advice on this matter.

ISSUE:

Whether a customs broker operating under an approved trade or fictitious name must use both its full legal name and trade or fictitious name on all CBP documents?

LAW AND ANALYSIS:

Section 111.30(c), CBP Regulations (19 CFR 111.30(c)) states that a broker who changes his name, or who proposes to operate under a trade or fictitious name in one or more states within the district in which he has been granted a permit and is authorized by state law to do so, shall submit evidence of his authority to use such name. The name shall not be used until approval of the Commissioner has been received. In the case of a trade or fictitious name, the broker shall affix his own name in conjunction with each signature of the trade or fictitious name when signing [CBP] documents.

In HQ 225071 (dated March 31, 1994), a customs broker inquired whether it would be permissible to prepare, file, and invoice customs entries and other related functions utilizing only the legal name of his brokerage, and excluding the approved trade name. We held that the broker must include the approved trade or fictitious name in addition to the legal name on all customs documents following approval of the use of the trade or fictitious name, and that allowing the use of only the legal name would create needless confusion.

Similarly, we held in HQ 115013 (dated September 6, 2000) that a broker must include an approved trade or fictitious name on all customs documents following approval of the use of the trade or fictitious name.

Accordingly, we hold that JAS is required to include on CBP documents its trade or fictitious name authorized by CBP, in addition to its legal name.

HOLDING:

A customs broker operating under an approved trade or fictitious name must use both its full legal name and trade or fictitious name on all CBP documents.

Sincerely,

Glen E. Vereb
Chief

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