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”)

Linked below is a list intended to capture entities and securities identified on the Non-SDN Chinese Military-Industrial Complex Companies List (the “NS-CMIC List”) published by the Office of Foreign Assets Control (“OFAC”) on June 3, 2021 and currently outstanding publicly traded securities issued the identified entities.

The list provided below 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 is intended to reflect current sanctions guidance from OFAC and has been created based on input from SIFMA member firms. It has been 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 the list, and SIFMA makes no representation or warranty as to the accuracy or completeness of the list or any information contained therein. SIFMA undertakes no obligation to update or modify the list as sanctions developments occur or otherwise. Nothing in the list 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 the list, is subject to the prohibitions contained in Amended E.O. 13959.

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