republic-os/legal/us/code/title-49/chapter-149/section-14916.md

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LegalText	49 U.S.C. § 14916	Unlawful brokerage activities	us	united_states_code	code_section	49	TRANSPORTATION	149	CIVIL AND CRIMINAL PENALTIES	14916	49 U.S.C. § 14916	current	119-100	2026-06-26	official	https://uscode.house.gov/download/releasepoints/us/pl/119/100/xml_usc49@119-100.zip	/us/usc/t49/s14916	data/legal/raw/us/code/title-49/usc49.xml	fab5f6bd08b017a675d257856876c2cf047bc1ced4506c9c21fda81948801b02	0786acdd244d8f42c5a8e8ed1ec2a8dcb47dd0e02a286752710a20745702a4fb	9b104941df2c6845a2cee344f74a6b9eed79de5554b49c51d4dc756f87d0bd95	2026-07-04	official	legal us-code

49 U.S.C. § 14916 - Unlawful brokerage activities

Text

(a) Prohibited Activities.— A person may provide interstate brokerage services as a broker only if that person—

(1) is registered under, and in compliance with, section 13904; and

(2) has satisfied the financial security requirements under section 13906.

(b) Exceptions.— Subsection (a) shall not apply to—

(1) a non-vessel-operating common carrier (as defined in section 40102 of title 46) or an ocean freight forwarder (as defined in section 40102 of title 46) when arranging for inland transportation as part of an international through movement involving ocean transportation between the United States and a foreign port;

(2) a customs broker licensed in accordance with section 111.2 of title 19, Code of Federal Regulations, only to the extent that the customs broker is engaging in a movement under a customs bond or in a transaction involving customs business, as defined by section 111.1 of title 19, Code of Federal Regulations; or

(3) an indirect air carrier holding a Standard Security Program approved by the Transportation Security Administration, only to the extent that the indirect air carrier is engaging in the activities as an air carrier as defined in section 40102(2) or in the activities defined in section 40102(3).

(c) Civil Penalties and Private Cause of Action.— Any person who knowingly authorizes, consents to, or permits, directly or indirectly, either alone or in conjunction with any other person, a violation of subsection (a) is liable—

(1) to the United States Government for a civil penalty in an amount not to exceed $10,000 for each violation; and

(2) to the injured party for all valid claims incurred without regard to amount.

(d) Liable Parties.— The liability for civil penalties and for claims under this section for unauthorized brokering shall apply, jointly and severally—

(1) to any corporate entity or partnership involved; and

(2) to the individual officers, directors, and principals of such entities.

(Added Pub. L. 112–141, div. C, title II, § 32919(a), July 6, 2012, 126 Stat. 827; amended Pub. L. 114–94, div. A, title V, § 5508(a)(5), Dec. 4, 2015, 129 Stat. 1554.)

Notes

Editorial Notes

Amendments2015—Pub. L. 114–94 substituted section symbol for “SEC.” before section designation.

Statutory Notes and Related Subsidiaries

Effective Date of 2015 AmendmentAmendment by Pub. L. 114–94 effective Oct. 1, 2015, see section 1003 of Pub. L. 114–94, set out as a note under section 5313 of Title 5, Government Organization and Employees.

Effective DateSection effective Oct. 1, 2012, see section 3(a) of Pub. L. 112–141, set out as an Effective and Termination Dates of 2012 Amendment note under section 101 of Title 23, Highways.