Amended Executive Order 13959: Issuers and Securities

Executive Order 13959, as amended by Executive Order 14032 of June 3, 2021: Addressing the Threat from Securities Investments that Finance Certain Companies of the People’s Republic of China (“Amended E.O. 13959”)

NOTE: The list linked below reflects current sanctions guidance from the Office of Foreign Assets Control (“OFAC”) and was created based on input from SIFMA member firms. It is intended to capture entities and securities identified on the Non-SDN Chinese Military-Industrial Complex Companies List (the “NS-CMIC List”) published by OFAC on June 3, 2021 and added to the list on December 16, 2021, as well as as currently outstanding publicly traded securities issued by the identified entities. This list does not include derivatives, funds, ETFs, or indices that may be prohibited under Amended E.O. 13959 and excludes products believed to expire or mature prior to the applicable sanctions effective date (unless specifically identified on the NS-CMIC List).

The list updates the version posted on September 29, 2021 to include additional entities added to the NS-CMIC List on December 16, 2021 and other data for some of the previously listed issuers. New information is marked in yellow, and securities and/or data are marked in red for deletion.

This list was developed to assist SIFMA member firms in their efforts to comply with Amended E.O. 13959 and for no other purpose. OFAC has not reviewed or approved this list, and SIFMA makes no representation or warranty as to the accuracy or completeness of the list or any information contained in the list. SIFMA undertakes no obligation to update or modify this document as sanctions developments occur or otherwise. Nothing in this document is intended to provide, nor should it be interpreted as providing, legal or compliance advice. Each firm should make its own determination as to whether or when a particular entity or security, whether or not included in this list, may be subject to the prohibitions contained in Amended E.O. 13959.

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