BRO-3-02-CO:R:C:E 224783 AJS
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
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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
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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
cc: Director, Entry Division
U.S. Customs Service
Room 1324