54720 Federal Register / Vol. 78, No. 172 / Thursday, September 5, 2013 / Notices 

21 17 CFR 200.30–3(a)(12). 

information from submissions. You 

should submit only information that 

you wish to make available publicly. All 

submissions should refer to File 

Number SR–ICEEU–2013–10 and 

should be submitted on or before 

September 26, 2013. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.21

Kevin M. O’Neill, 

Deputy Secretary. 

[FR Doc. 2013–21532 Filed 9–4–13; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice 8449; No. 2013–5] 

Determination Pursuant to the Foreign 

Missions Act 

Pursuant to the authority vested in me 

under the Foreign Missions Act, 22 

U.S.C. 4301 et seq. (‘‘the Act’’), and 

Department of State Delegation of 

Authority No. 198 of September 16, 

1992, I hereby determine that the plans 

submitted by the Embassy of the 

Republic of South Africa to the Public 

Space Committee of the District of 

Columbia’s Department of Consumer 

and Regulatory Affairs concerning the 

location of a flagpole in public space at 

its chancery located at 3051 

Massachusetts Avenue NW., 

demonstrate substantial compliance 

with District of Columbia building and 

related codes in a manner determined 

by the Secretary to be inconsistent with 

the international obligations of the 

United States, in accordance with 

section 206(g) of the Act. 

Dated: August 20, 2013. 

Patrick F. Kennedy, 

Under Secretary for Management. 

[FR Doc. 2013–21600 Filed 9–4–13; 8:45 am] 

BILLING CODE 4710–43–P 

DEPARTMENT OF TRANSPORTATION 

Federal Motor Carrier Safety 

Administration 

Registration and Financial Security 

Requirements for Brokers of Property 

and Freight Forwarders 

AGENCY: Federal Motor Carrier Safety 

Administration (FMCSA), DOT. 

ACTION: Notice. 

SUMMARY: FMCSA announces guidance 

concerning the implementation of 

certain provisions of the Moving Ahead 

for Progress in the 21st Century Act 

(MAP–21) concerning persons acting as 

a broker or a freight forwarder. Section 

32915 of MAP–21 requires anyone 

acting as a broker or a freight forwarder 

and subject to FMCSA jurisdiction, 

including motor carriers, to register and 

obtain broker or freight forwarder 

authority from FMCSA. Section 32918 

amended the financial security 

requirements applicable to property 

brokers and created new requirements 

for freight forwarders. FMCSA provides 

guidance for brokers and freight 

forwarders on how to comply with the 

new requirements and information 

regarding FMCSA’s enforcement of 

these provisions. 

DATES: This guidance is effective 

October 1, 2013. 

FOR FURTHER INFORMATION CONTACT: 

Jeffrey Secrist or Gerald Folsom, Office 

of Registration and Safety Information, 

Federal Motor Carrier Safety 

Administration, 1200 New Jersey Ave. 

SE., Washington, DC 20590–0001, (202) 

385–2367/2405 regarding financial 

security requirements or Kenneth 

Rodgers, Office of Enforcement and 

Compliance, Federal Motor Carrier 

Safety Administration, 1200 New Jersey 

Ave. SE., Washington, DC 20590–0001, 

(202) 385–2400 regarding enforcement. 

SUPPLEMENTARY INFORMATION: On July 6, 

2012, the President signed MAP–21 

(Pub. L. 112–141, 126 Stat. 405 (2012)) 

into law, which included a number of 

mandatory, non-discretionary changes 

to FMCSA programs. Some of these 

changes amended the financial security 

requirements applicable to property 

brokers and freight forwarders operating 

under FMCSA’s jurisdiction. Others 

required motor carriers to register as 

brokers if they were also performing 

brokerage functions. The FMCSA 

provides guidance to ensure that all 

interested parties are aware of the selfexecuting statutory provisions that take 

effect on October 1, 2013, and how 

those subject to the requirements can 

achieve compliance with the law. 

A. General Broker/Freight Forwarder 

Information 

FMCSA has received a number of 

requests from motor carriers and other 

transportation companies requesting 

additional information about when 

registration as a broker or freight 

forwarder is required. The Agency has 

compiled a list of the most common 

questions and our responses and 

presents the information below in 

question-and-answer format. 

Question 1: What is a broker? 

Answer: A broker is a person or an 

entity that, for compensation, arranges, 

or offers to arrange, for the 

transportation of property by a motor 

carrier. A broker does not transport the 

property and does not assume 

responsibility for the property. 

Although MAP–21 left in place the 

previous statutory definition of 

‘‘broker,’’ which expressly excludes 

motor carriers and their agents and 

employees (49 U.S.C. 13102(2)), the new 

law separately prohibits motor carriers 

from brokering transportation services 

unless they are registered as a broker (49 

U.S.C. 13902(a)(6)). 

Question 2: What is a freight 

forwarder? 

Answer: A freight forwarder is a 

person or entity that holds itself out to 

the general public as providing 

transportation of property for 

compensation, and in the ordinary 

course of its business: 

• Assembles and consolidates, or 

provides for assembling and 

consolidating, shipments and performs 

or provides for break-bulk and 

distribution operations of the 

shipments; 

• Assumes responsibility for the 

transportation from the place of receipt 

to the place of destination; and 

• Uses for any part of the 

transportation a rail, motor or water 

carrier subject to the jurisdiction of 

either FMCSA or the Surface 

Transportation Board. 

Question 3: Are freight forwarders 

and brokers required to register with 

FMCSA? 

Answer: Yes. Freight forwarders and 

brokers that are involved in interstate 

commerce and subject to FMCSA 

jurisdiction are required to register with 

FMCSA. Freight forwarders that perform 

both freight forwarder services and 

motor carrier services (beyond the scope 

of their freight forwarding operations) 

must register both as freight forwarders 

and as motor carriers. Additionally, as 

noted in Q1 above, MAP–21 requires 

motor carriers that broker loads, even 

occasionally, to register both as motor 

carriers and as brokers. 

Question 4: How would a motor 

carrier that also brokers loads apply for 

broker authority? 

Answer: Anyone seeking broker 

authority must file a Form OP–1 and 

submit it to FMCSA. Companies with 

existing motor carrier authority should 

include their current USDOT Number 

on the OP–1 form but leave the MC 

Number field blank. FMCSA will issue 

a separate MC Number for the broker 

authority. While MAP–21 requires 

FMCSA to establish an indicator of the 

type of transportation or service for 

which the USDOT registration number 

is issued, including whether the 


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