|
| FINRA Rules | Notices | Rule Filings | Member Alerts | Publications & Guidance | Issue Center | Compliance Tools |
|
|
 |
 |
|
 |
|
|
|
|
| |||||
Compliance Tools |
FINRA offers an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) "Specially Designated Nationals and Blocked Persons" (SDN) list. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC Web site as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions.
Firms must check this list on an ongoing basis to ensure that potential customers and existing customers are not prohibited persons or entities and are not from embargoed countries or regions before transacting any business with them.
|
||||||||||||
| |||||||||||||
