FINRA Manual: Contents
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For Your Information (November)
As described in NASD Notice to Members 01-67, President Bush issued an executive order on September 24, 2001, blocking the property of and prohibiting transactions with persons who commit, threaten to commit, or support terrorism. The order was issued through the U.S. Treasury's Office of Foreign Assets Control (OFAC); the offices of the Secretaries of State and Treasury and the Attorney General determined the persons and organizations affected. On October 12, 2001, OFAC added 39 persons and entities suspected of terrorism (or Specially Designated Global Terrorists—SDGTs). The complete list can be found on the OFAC Web Site, www.treas.gov/ofac, under "Bulletin."
Transactions are prohibited with the 39 persons and entities included in the Bulletin as well as those persons and organizations listed on the OFAC Web Site under "Terrorists," "Specially Designated Nationals and Blocked Persons," (SDN List), and the list of embargoed countries and regions.
Please check the OFAC Web Site and implement procedures to check the Web Site routinely for the names of additional persons and entities suspected of being involved in terrorism and whose accounts and transactions should be blocked. If your firm blocks or is subject to a block of the movement of cash or securities, it should report the incident and the names of the persons or organizations involved by facsimile to the OFAC Compliance Division at (202) 622-2426.
Exams Now Offered In Singapore
NASD Regulation is now offering computerized delivery of qualification exams and Continuing Education in Singapore. For additional information about the delivery location in Singapore, and how to schedule an appointment at this location, view the exam location Web Pages on the NASD Regulation Web Site at www.nasdr.com/2634.htm.