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Data / Federal rules / Brokers

Federal rules on brokers: 86 since January 2024

50 final rules and 36 proposed rules since January 5, 2024, 19 of them marked significant. 3 are open for comment now. Most come from the Financial Crimes Enforcement Network (24), Securities and Exchange Commission (15), Federal Motor Carrier Safety Administration (14), Centers for Medicare & Medicaid Services (9).

SpecStream is the live web data engine for teams and agents. It reads every rule and proposed rule in the Federal Register each morning, and this page is that reading. Name your industry once and new rules, comment deadlines and effective dates arrive in your sheet, CRM, Slack or agent as they are published.

Open for comment

DocumentAgencyTypeComments due
Proposal of Special Measure Prohibiting the Transmittal of Funds Regarding Transactions Involving the A7 Network's Sub-Agents
2026-20371
Financial Crimes Enforcement NetworkProposed ruleNov 4
Proxy Solicitation Modernization
2026-19259
Securities and Exchange CommissionProposed ruleNov 20
Investment Adviser Performance-Based Compensation Modernization
2026-20474
Securities and Exchange CommissionProposed ruleDec 7

Every document, newest first

DocumentAgencyTypePublished
Investment Adviser Performance-Based Compensation Modernization
2026-20474
Securities and Exchange CommissionProposed ruleOct 6
Proposal of Special Measure Prohibiting the Transmittal of Funds Regarding Transactions Involving the A7 Network's Sub-Agents
2026-20371
Financial Crimes Enforcement NetworkProposed ruleOct 5
Patient Protection and Affordable Care Act; Temporary Moratoria on Certain Agent and Broker Registration To Participate in the Exchanges
2026-19493
Health and Human Services DepartmentFinal ruleSep 23
Proxy Solicitation Modernization
2026-19259
Securities and Exchange CommissionProposed ruleSep 21
Fees for the Unified Carrier Registration Plan and Agreement
2026-17893
Federal Motor Carrier Safety AdministrationFinal ruleSep 1
Proposal of Special Measure Regarding Banque Misr UAE as a Financial Institution Operating Outside of the United States of Primary Money Laundering Concern
2026-17871
Financial Crimes Enforcement NetworkProposed ruleSep 1
Beneficial Ownership Information Reporting Requirement Revision
2026-16576 · significant
Financial Crimes Enforcement NetworkFinal ruleAug 14
Conflicts and Affiliations
2026-15948
Commodity Futures Trading CommissionProposed ruleAug 6
General Technical, Organizational, Conforming, and Correcting Amendments to the Federal Motor Carrier Safety Regulations
2026-14701
Federal Motor Carrier Safety AdministrationFinal ruleJul 21
Electronic Delivery of Information Under the Federal Securities Laws
2026-14679
Securities and Exchange CommissionProposed ruleJul 21
Definition of Huione Group, a Financial Institution Operating Outside the United States of Primary Money Laundering Concern
2026-12794
Financial Crimes Enforcement NetworkProposed ruleJun 25
The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
2026-12163 · significant
Securities and Exchange CommissionProposed ruleJun 17
Registered Offering Reform
2026-10373 · significant
Securities and Exchange CommissionProposed ruleMay 26
Patient Protection and Affordable Care Act, HHS Notice of Benefit and Payment Parameters for 2027; and Basic Health Program
2026-10050 · significant
Centers for Medicare & Medicaid ServicesFinal ruleMay 20
Semiannual Reporting
2026-09095
Securities and Exchange CommissionProposed ruleMay 7
Civil Monetary Penalties-2026 Adjustment
2026-08747
Surface Transportation BoardFinal ruleMay 5
Technical Amendments to Rule 610(e) of Regulation NMS and to Delegation of Authority To Grant or Deny Exemptions From Rule 610 of Regulation NMS
2026-08721
Securities and Exchange CommissionFinal ruleMay 5
Medicare and Medicaid Programs; Patient Protection and Affordable Care Act; Interoperability Standards and Prior Authorization for Drugs for Medicare Advantage Organizations, Medicaid Managed Care Plans, State Medicaid Agencies, Children's Health Insurance Program (CHIP) Agencies and CHIP Managed Care Entities, and Issuers of Qualified Health Plans on the Federally-Facilitated Exchanges
2026-07205 · significant
Centers for Medicare & Medicaid ServicesProposed ruleApr 14
Anti-Money Laundering and Countering the Financing of Terrorism Programs
2026-07033
Financial Crimes Enforcement NetworkProposed ruleApr 10
Permitted Payment Stablecoin Issuer Anti-Money Laundering/Countering the Financing of Terrorism Program and Sanctions Compliance Program Requirements
2026-06963
Financial Crimes Enforcement NetworkProposed ruleApr 10
Fees for the Unified Carrier Registration Plan and Agreement
2026-06726
Federal Motor Carrier Safety AdministrationProposed ruleApr 7
Whistleblower Incentives and Protections
2026-06271
Financial Crimes Enforcement NetworkProposed ruleApr 1
Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies
2026-06114
Financial Stability Oversight CouncilProposed ruleMar 30
Publication or Submission of Quotations Without Specified Information
2026-05401
Securities and Exchange CommissionProposed ruleMar 19
Proposal of Special Measure Regarding MBaer Merchant Bank AG as a Financial Institution Operating Outside of the United States of Primary Money Laundering Concern
2026-04033
Financial Crimes Enforcement NetworkProposed ruleMar 2
Removal of Obsolete References to “Water Carriers”
2026-03266
Federal Motor Carrier Safety AdministrationFinal ruleFeb 19
Patient Protection and Affordable Care Act, HHS Notice of Benefit and Payment Parameters for 2027; and Basic Health Program
2026-02769 · significant
Centers for Medicare & Medicaid ServicesProposed ruleFeb 11
Civil Monetary Penalties-2026 Adjustment
2026-00535
Surface Transportation BoardFinal ruleJan 14
Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers
2025-24184
Financial Crimes Enforcement NetworkFinal ruleJan 2
Technical Amendments to Commission Forms
2025-22583
Securities and Exchange CommissionFinal ruleDec 11, 2025
Adjusting and Indexing Certain Regulatory Thresholds
2025-21914
Federal Deposit Insurance CorporationFinal ruleDec 4, 2025
Proposal of Special Measure Regarding Transactions Involving Ten Mexican Gambling Establishments as a Class of Transactions of Primary Money Laundering Concern
2025-19927
Financial Crimes Enforcement NetworkProposed ruleNov 17, 2025
Imposition of Special Measure Regarding Huione Group, as a Foreign Financial Institution of Primary Money Laundering Concern
2025-19571
Financial Crimes Enforcement NetworkFinal ruleOct 16, 2025
Delaying the Effective Date of the Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers
2025-18271
Financial Crimes Enforcement NetworkProposed ruleSep 22, 2025
Syrian Sanctions Regulations
2025-16324
Foreign Assets Control OfficeFinal ruleAug 26, 2025
Adjusting and Indexing Certain Regulatory Thresholds
2025-14132
Federal Deposit Insurance CorporationProposed ruleJul 28, 2025
Patient Protection and Affordable Care Act; Marketplace Integrity and Affordability
2025-11606
Health and Human Services DepartmentFinal ruleJun 25, 2025
Removal of Obsolete References to “Water Carriers”
2025-09727
Federal Motor Carrier Safety AdministrationProposed ruleMay 30, 2025
Civil Penalties Schedule Update
2025-09703
Federal Motor Carrier Safety AdministrationFinal ruleMay 30, 2025
Special Measure Regarding Huione Group, as a Foreign Financial Institution of Primary Money Laundering Concern
2025-07837
Financial Crimes Enforcement NetworkProposed ruleMay 5, 2025
Eliminating Unnecessary Regulations
2025-06353
Treasury DepartmentFinal ruleApr 15, 2025
Beneficial Ownership Information Reporting Requirement Revision and Deadline Extension
2025-05199 · significant
Financial Crimes Enforcement NetworkFinal ruleMar 26, 2025
Patient Protection and Affordable Care Act; Marketplace Integrity and Affordability
2025-04083
Health and Human Services DepartmentProposed ruleMar 19, 2025
Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants
2024-31177
Commodity Futures Trading CommissionFinal ruleJan 22, 2025
Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations
2024-30927 · significant
Commodity Futures Trading CommissionFinal ruleJan 22, 2025
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2024-30433
Securities and Exchange CommissionFinal ruleJan 21, 2025
Financial Crimes Enforcement Network; Inflation Adjustment of Civil Monetary Penalties
2025-01374
Financial Crimes Enforcement NetworkFinal ruleJan 17, 2025
Patient Protection and Affordable Care Act; HHS Notice of Benefit and Payment Parameters for 2026; and Basic Health Program
2025-00640
Health and Human Services DepartmentFinal ruleJan 15, 2025
Civil Monetary Penalties-2025 Adjustment
2025-00570
Surface Transportation BoardFinal ruleJan 14, 2025
Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
2024-31178
Securities and Exchange CommissionFinal ruleJan 13, 2025
Federal Motor Carrier Safety Regulations; Correction
2025-00212
Federal Motor Carrier Safety AdministrationFinal ruleJan 10, 2025
Broker and Freight Forwarder Financial Responsibility; Extension of Compliance Date
2024-30509
Federal Motor Carrier Safety AdministrationFinal ruleDec 31, 2024
EDGAR Filer Access and Account Management
2024-30494
Securities and Exchange CommissionFinal ruleDec 27, 2024
International Traffic in Arms Regulations: Registration Fees
2024-29032 · significant
State DepartmentFinal ruleDec 10, 2024
Transparency in Property Broker Transactions
2024-27115
Federal Motor Carrier Safety AdministrationProposed ruleNov 20, 2024
Federal Motor Carrier Safety Regulations
2024-25514
Federal Motor Carrier Safety AdministrationFinal ruleNov 18, 2024
Broker and Freight Forwarder Financial Responsibility; Extension of Compliance Date
2024-25517
Federal Motor Carrier Safety AdministrationProposed ruleNov 4, 2024
Patient Protection and Affordable Care Act, HHS Notice of Benefit and Payment Parameters for 2025; Updating Section 1332 Waiver Public Notice Procedures; Medicaid; Consumer Operated and Oriented Plan (CO-OP) Program; and Basic Health Program; Correcting Amendment
2024-24910
Centers for Medicare & Medicaid ServicesFinal ruleOct 28, 2024
Update to the Public Utility Exemption Under the Beneficial Ownership Information Reporting Rule
2024-23920 · significant
Financial Crimes Enforcement NetworkFinal ruleOct 18, 2024
Patient Protection and Affordable Care Act; HHS Notice of Benefit and Payment Parameters for 2026; and Basic Health Program
2024-23103
Centers for Medicare & Medicaid ServicesProposed ruleOct 10, 2024
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
2024-21867
Securities and Exchange CommissionFinal ruleOct 8, 2024
Commodity Pool Operators, Commodity Trading Advisors, and Commodity Pools Operated: Updating the `Qualified Eligible Person' Definition; Adding Minimum Disclosure Requirements for Pools and Trading Programs; Permitting Monthly Account Statements for Funds of Funds; Technical Amendments
2024-21682 · significant
Commodity Futures Trading CommissionFinal ruleSep 26, 2024
Financial Crimes Enforcement Network: Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers
2024-19260
Financial Crimes Enforcement NetworkFinal ruleSep 4, 2024
Incorporation of Changes in the Commission's Administrative Structure, Remove Superfluous Verbiage, and Correct Inaccurate Text
2024-18445
Commodity Futures Trading CommissionFinal ruleSep 4, 2024
Anti-Money Laundering Regulations for Residential Real Estate Transfers
2024-19198 · significant
Financial Crimes Enforcement NetworkFinal ruleAug 29, 2024
Imposition of Special Measure Regarding Al-Huda Bank as a Financial Institution of Primary Money Laundering Concern
2024-14415 · significant
Financial Crimes Enforcement NetworkFinal ruleJul 3, 2024
Anti-Money Laundering and Countering the Financing of Terrorism Programs
2024-14414 · significant
Financial Crimes Enforcement NetworkProposed ruleJul 3, 2024
Fees for the Unified Carrier Registration Plan and Agreement
2024-13192
Federal Motor Carrier Safety AdministrationFinal ruleJun 17, 2024
Large Trader Reporting Requirements
2024-11798
Commodity Futures Trading CommissionFinal ruleJun 3, 2024
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
2024-11116
Securities and Exchange CommissionFinal ruleJun 3, 2024
Clarifying the Eligibility of Deferred Action for Childhood Arrivals (DACA) Recipients and Certain Other Noncitizens for a Qualified Health Plan through an Exchange, Advance Payments of the Premium Tax Credit, Cost-Sharing Reductions, and a Basic Health Program
2024-09661
Centers for Medicare & Medicaid ServicesFinal ruleMay 8, 2024
Nondiscrimination in Health Programs and Activities
2024-08711
Centers for Medicare & Medicaid ServicesFinal ruleMay 6, 2024
International Traffic in Arms Regulations: Registration Fees
2024-08627 · significant
State DepartmentProposed ruleApr 24, 2024
Zimbabwe Sanctions Regulations
2024-08144
Foreign Assets Control OfficeFinal ruleApr 17, 2024
Patient Protection and Affordable Care Act, HHS Notice of Benefit and Payment Parameters for 2025; Updating Section 1332 Waiver Public Notice Procedures; Medicaid; Consumer Operated and Oriented Plan (CO-OP) Program; and Basic Health Program
2024-07274
Centers for Medicare & Medicaid ServicesFinal ruleApr 15, 2024
Disclosure of Order Execution Information
2024-05556
Securities and Exchange CommissionFinal ruleApr 15, 2024
Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants
2024-04107
Commodity Futures Trading CommissionProposed ruleMar 1, 2024
Anti-Money Laundering Regulations for Residential Real Estate Transfers
2024-02565 · significant
Financial Crimes Enforcement NetworkProposed ruleFeb 16, 2024
Financial Crimes Enforcement Network: Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers and Exempt Reporting Advisers
2024-02854
Financial Crimes Enforcement NetworkProposed ruleFeb 15, 2024
Medicare and Medicaid Programs; Patient Protection and Affordable Care Act; Advancing Interoperability and Improving Prior Authorization Processes for Medicare Advantage Organizations, Medicaid Managed Care Plans, State Medicaid Agencies, Children's Health Insurance Program (CHIP) Agencies and CHIP Managed Care Entities, Issuers of Qualified Health Plans on the Federally-Facilitated Exchanges, Merit-Based Incentive Payment System (MIPS) Eligible Clinicians, and Eligible Hospitals and Critical Access Hospitals in the Medicare Promoting Interoperability Program
2024-00895 · significant
Centers for Medicare & Medicaid ServicesFinal ruleFeb 8, 2024
Proposal of Special Measure Regarding Al-Huda Bank, as a Foreign Financial Institution of Primary Money Laundering Concern
2024-02004 · significant
Financial Crimes Enforcement NetworkProposed ruleJan 31, 2024
Financial Crimes Enforcement Network; Inflation Adjustment of Civil Monetary Penalties
2024-01420
Financial Crimes Enforcement NetworkFinal ruleJan 25, 2024
Operational Resilience Framework for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
2023-28745 · significant
Commodity Futures Trading CommissionProposed ruleJan 24, 2024
Civil Monetary Penalties-2024 Adjustment
2024-00592
Surface Transportation BoardFinal ruleJan 12, 2024
Fees for the Unified Carrier Registration Plan and Agreement
2024-00262
Federal Motor Carrier Safety AdministrationProposed ruleJan 9, 2024
General Technical, Organizational, Conforming, and Correcting Amendments to the Federal Motor Carrier Safety Regulations; Correction
2024-00016
Federal Motor Carrier Safety AdministrationFinal ruleJan 5, 2024

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Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.