Answer first
Core rule
Answer first: ordinary suspension or revocation grounds are in §111.53, not §111.51; §111.51 addresses cancellation and §111.52 voluntary suspension. A §111.53 disciplinary case generally proceeds through investigation, charges, hearing, decision, and appeal under §§111.55–111.75. Section 111.91 is a separate monetary-penalty path, generally capped at an aggregate $30,000 for a broker and unavailable for the same reason after a suspension or revocation proceeding has been instituted. A missed triennial report follows the operation-of-law path in §111.30(d)(4), not the ordinary hearing path. These are October 2026 exam rules from the 2025 Annual CFR; current-law enforcement work requires a separate current-source check.
Authority and lookup route
Locate the rule before returning to the facts. Links point to government or official publications.
Reference lookup task
For one alleged violation, identify the §111.53 ground, choose discipline, reprimand, or §111.91 penalty, and trace notice through appeal.
Route: Read §§111.51–111.53 first, then the Subpart D sequence, and finally compare §§111.78 and 111.91–111.95.
Worked example
A corporate broker knowingly files materially false information in its triennial status report. Which path should be analyzed first?
- 1Test the false report against the suspension-or-revocation grounds in §111.53(a).
- 2Do not cite §111.51, which addresses cancellation rather than disciplinary grounds.
- 3If CBP pursues discipline, trace investigation, charges, hearing, decision, and appeal under Subpart D.
- 4If considering §111.91 instead, verify its grounds, cap, notice process, and same-reason proceeding limitation.
Conclusion: Analyze §111.53(a) discipline first; neither revocation nor a monetary penalty is automatic, and §111.91 requires its own conditions.
Common traps
- Citing §111.51 as the source of suspension or revocation grounds.
- Assuming every suspension follows a hearing despite operation-of-law provisions.
- Stacking a §111.91 penalty onto a same-reason discipline case without checking the regulatory limitation.
- Treating an allegation as an automatic final sanction without following notice and decision procedures.