Regulations第 68 / 110 题
Before opening an account, a firm must check the prospective customer's name against the list of Specially Designated Nationals maintained by:
a.FINRA's Central Registration Depository
b.The Municipal Securities Rulemaking Board
c.The Securities Investor Protection Corporation
d.The Office of Foreign Assets Control
解析
OFAC publishes the Specially Designated Nationals list, and firms are prohibited from doing business with parties named on it. The CRD holds registration records for individuals and firms, the MSRB writes municipal rules, and SIPC provides limited account protection if a broker-dealer fails. None of those three maintains sanctions lists.
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