Topics / Broker licensing and the exam

The background investigation of a broker license applicant covers, among other things:

  1. The accuracy of statements in the application, and the applicant's business integrity and financial responsibility
  2. Only the applicant's exam score
  3. Only the applicant's credit score
  4. The applicant's clients' import history
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A. The accuracy of statements in the application, and the applicant's business integrity and financial responsibility

The investigation covers accuracy of statements, business integrity and financial responsibility, and character and reputation.

Source: 19 CFR 111.14(a)

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