Home Discussion Broker Compliance Quiz 1, Question 6

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  • Deanna Schlieve
    Post count: 27

    With 19 CFR 111.22 no longer existing, could you provide an alternative citation for this question?

    6. Question 1 point
    A written request to exempt a broker from keeping a current record of transactions in a prescribed format, in addition to the records of account required by 19 CFR 111.22, shall be addressed to whom?

    A. the port director
    B. the CMC Director
    C. the Assistant Commissioner, Office of Filed Operations
    D. the Assistant Commissioner, Regulatory Audit
    E. the Field Director, Regulatory Audit

    Correct choice is: A
    Explanation: 85. CFR 111.22(a)

    Post count: 56

    The provision 19 CFR 111.22 has been deleted from the regulations.

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