Which ONE of the following is NOT required to be maintained by a broker as evidence of their registration for, attendance at, or completion of the qualifying continuing broker education?
How to get there
19 CFR 111.102(d)(1): Recordkeeping requirements… retain the following … for a period of three years following the submission of the status report …:
(i) The title of the qualifying continuing broker education attended;
(ii) The name of the provider or host …;
(iii) The date(s) attended;
(iv) The number of continuing education credits accrued;
(v) The location of the qualifying continuing broker education; and
(vi) Any documentation received from the provider or host … that evidences the individual broker's registration for, attendance at, completion of …
(i) The title of the qualifying continuing broker education attended;
(ii) The name of the provider or host …;
(iii) The date(s) attended;
(iv) The number of continuing education credits accrued;
(v) The location of the qualifying continuing broker education; and
(vi) Any documentation received from the provider or host … that evidences the individual broker's registration for, attendance at, completion of …
A, B and C are items (v), (ii) and (iii). The date the broker received proof of completion isn't on the list. Item (vi) requires keeping the documentation itself, not tracking when it arrived. The answer is D.
Why the other choices are wrong (they're required)
A) Location: § 111.102(d)(1)(v).
B) Provider or host name: § 111.102(d)(1)(ii).
C) Dates attended: § 111.102(d)(1)(iii).
Tip
CE records: six items (title, provider, dates, credits, location, provider documents), kept 3 years after the status report, and produced within 30 calendar days of CBP's request (§ 111.102(d)(2)).
Source: 19 CFR 111.102(d) (eCFR).
CBP answer key: Answer D · 19 CFR 111.102(d)(1)(i)-(vi)Source: CBP past exams ↗