MA/A
0000769993
XXXXXXXX
Crystal Orgill
8018841533
crystal.orgill@gs.com
jamison.yardley@gs.com
Crystal.Orgill@gs.com
jaron.anderson@gs.com
sonja.stevenson@gs.com
GOLDMAN SACHS & CO. LLC
361
13-5108880
866-00183-00
867-01181
008-00129
361
801-16048
361
361
AL
AK
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NE
NV
NH
NJ
NM
NY
NC
ND
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VT
VI
VA
WA
WV
WI
Transfer Agent
084-01100
0000734700
National Futures Association
0002014
GLEIF
FOR8UP27PHTHYVLBNG30
IRS FACTA
DTLCMF.00000.SP.840
200 WEST STREET
NEW YORK
NY
10282
2129021000
Add
71 SOUTH WACKER DRIVE
SUITE 1200
CHICAGO
IL
60606
1-312-655-4600
Add
2001 ROSS AVENUE
Suite 2800
DALLAS
TX
75201
1-972-368-2200
Add
10100 SANTA MONICA BOULEVARD
SUITE # 2600
LOS ANGELES
CA
90067
1-310-407-5700
Add
555 CALIFORNIA STREET
45TH FLOOR
SAN FRANCISCO
CA
94104
1-415-393-7500
Add
3414 PEACHTREE ROAD, N.E.
Suite 600
ATLANTA
GA
30326
1-404-846-7200
N
www.goldmansachs.com
DARIAN
M
FUTRELL
200 WEST STREET
NEW YORK
NY
10282
212-902-1000
Darian.Futrell@gs.com
Jamison
NMN
Yardley
Vice President
111 South Main Street
Salt Lake City
UT
84111
212-902-1000
jamison.yardley@gs.com
Add
GOLDMAN SACHS & CO. LLC
71 SOUTH WACKER DRIVE
SUITE 1200
CHICAGO
IL
60606
1-312-655-4600
Certain books and records.
Add
GOLDMAN SACHS & CO. LLC
2001 ROSS AVENUE
Suite 2800
DALLAS
TX
75201
1-972-368-2200
Certain books and records.
Add
GOLDMAN SACHS & CO. LLC
10100 SANTA MONICA BOULEVARD
SUITE #2600
LOS ANGELES
CA
90067
1-310-407-5700
Certain books and records.
Add
GOLDMAN SACHS & CO. LLC
555 CALIFORNIA STREET
45TH FLOOR
SAN FRANCISCO
CA
94104
1-415-393-7500
Certain books and records.
Add
GOLDMAN SACHS & CO. LLC
3414 PEACHTREE ROAD, N.E.
SUITE 1300
ATLANTA
GA
30326
1-404-846-7200
Certain books and records.
Add
CHINA SECURITIES REGULATORY COMMISSION
QF2003NAS005
F4
Add
THE CENTRAL BANK OF REPUBLIC OF CHINA (TAIWAN)
F24010002
F5
Add
SECURITIES AND FUTURES BUREAU, FINANCIAL SUPERVISORY COMMISSION, EXECUTIVE YUAN (TAIWAN)
F24010002
F5
Add
SECURITIES AND EXCHANGE BOARD OF INDIA
NUSFA022094
K7
Add
SUPERINTENDENCIA FINANCIERA DE COLOMBIA
F8
Add
SWISS FEDERAL BANKING COMMISSION
V8
Add
DUBAI FINANCIAL SERVICES AUTHORITY
F000532
C0
Add
AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION
N/A
C3
Add
MONETARY AUTHORITY OF SINGAPORE
U0
THE GOLDMAN SACHS GROUP, INC.
Y
Federal Reserve Board; Federal Deposit Insurance Corporation; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
GOLDMAN SACHS (UK) L.L.C.
N
GOLDMAN SACHS GROUP UK LIMITED
N
GOLDMAN SACHS INTERNATIONAL BANK
Y
Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
X0
GOLDMAN SACHS INTERNATIONAL
Y
Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
X0
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL
Y
Financial Conduct Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
X0
GOLDMAN SACHS (JAPAN) LTD.
N
GOLDMAN SACHS JAPAN CO., LTD.
Y
Financial Services Agency; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
M0
J. ARON & COMPANY LLC
Y
Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
Y
Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
GS LENDING PARTNERS HOLDINGS LLC
N
GOLDMAN SACHS LENDING PARTNERS LLC
N
GOLDMAN SACHS MORTGAGE COMPANY
Y
Housing and Urban Development; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
GS FUND HOLDINGS, L.L.C.
N
GOLDMAN SACHS BANK USA
Y
New York State Department of Financial Services; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K
NY
BROAD STREET PRINCIPAL INVESTMENTS SUPERHOLDCO LLC
N
GSAM HOLDINGS LLC
N
GOLDMAN SACHS (ASIA) CORPORATE HOLDINGS L.L.C.
N
GSSG HOLDINGS LLC
N
Goldman Sachs Funding LLC
N
Goldman Sachs Holdings (Asia Pacific) Limited
N
ALQ Holdings (Del) LLC
N
GLQ Holdings (UK) Ltd
N
GLQ International Holdings Ltd
N
Goldman Sachs Bank Europe SE
Y
BaFin
2M
GLQ International Partners LP
N
Goldman Sachs UK Funding Limited
N
GLQC II DESIGNATED ACTIVITY COMPANY
N
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL HOLDINGS LTD
N
GSAMI HOLDINGS II LTD
N
GLQL S.A R.L.
N
GLQC Holdings S.A R.L.
N
Goldman Sachs Asset Management B.V.
N
Goldman Sachs Asset Management Holdings B.V.
N
Goldman Sachs Asset Management Holdings I B.V.
N
Goldman Sachs Asset Management Holdings II B.V.
N
Goldman Sachs Asset Management Holdings LLC
N
Goldman Sachs Asset Management International Holdings B.V.
N
Goldman Sachs Asset Management UK Holdings I Ltd
N
Goldman Sachs Asset Management UK Holdings II Ltd
N
Goldman Sachs Canada Holdings LLC
N
Goldman Sachs Canada Inc.
Y
Investment Industry Regulatory Organization of Canada
Z4
Goldman Sachs Non-US Americas Holdings II LLC
N
Goldman Sachs Non-US Americas Holdings LLC
N
GSAMI Holdings I LLC
N
Murray Street Corporation
N
Sphere Fundo De Investimento Multimercado - Investimento No Exterior Credito Privado
Y
Securities and Exchange Commission of Brazil
D5
Broad Street Principal Investments, L.L.C.
N
GLQ Holdings (UK) II LTD
N
Goldman Sachs Global Funding I, CO.
N
Goldman Sachs Global Funding II LTD
N
GS European Funding I S.A.R.L. LLC
N
GS Financial Services II, LLC
N
December
NY
01-03-1927
Y
0000769993
14155
75
75
0
0
1
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice Guaranteed IC
Advice Use Of MD
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Y
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Company
Investment Adviser
Swap Dealer
Security-based swap dealer
Commodity pool operator
Commodity trading advisor
Futures commission merchant
Banking/Thrift institution
Trust Company
Sponsor or syndicator of limited partnerships
144
Add
Investment Adviser
Commodity pool operator
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL
N
Y
Y
Alberta Securities Commission
Z4
British Columbia Securities Commission
Z4
Ontario Securities Commission
Z4
Quebec, Financial Markets Authority
Z4
China Securities Regulatory Commission
F4
Financial Services Board
T3
Financial Supervisory Commission / Financial Supervisory Service
M5
Financial Conduct Authority
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
GOLDMAN SACHS (ASIA) L.L.C.
GOLDMAN SACHS (ASIA) L.L.C.
N
Y
Y
Australian Securities and Investments Commission
C3
China Securities Regulatory Commission
O4
Securities and Futures Commission
K3
FINANCIAL SUPERVISORY COMMISSION
M5
KOREA EXCHANGE
M5
KOREA MINISTRY OF STRATEGY AND FINANCE
M5
DEPOSITORY & CLEARING CORPORATION
F5
TAIWAN SECURITIES ASSOCIATION
F5
Securities and Exchange Commission
W1
Securities and Futures Bureau, Financial Supervisory Co.
F5
FINANCIAL SUPERVISORY SERVICE
M5
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS (SINGAPORE) PTE.
GOLDMAN SACHS (SINGAPORE) PTE.
N
Y
Y
Monetary Authority of Singapore
U0
Add
Investment Adviser
Commodity pool operator
Commodity trading advisor
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
N
Y
Y
Alberta Securities Commission
A0
British Columbia Securities Commission
A1
Manitoba Securities Commission
A2
Ontario Securities Commission
A6
Financial and Consumer Affairs Authority of Saskatchewan
A9
Securities and Exchange Board of India
K7
Central Bank of Ireland
L2
Service NL (Newfoundland and Labrador)
A4
Autorite des marches financiers
A8
Prince Edward Island Office of the Superintendent of Securities
A7
New Brunswick Securities Commission
A3
Financial Services Regulation Division
Z4
Nova Scotia Securities Commission
A5
New Brunswick Securities Commission
A3
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Swap Dealer
GOLDMAN SACHS INTERNATIONAL
GOLDMAN SACHS INTERNATIONAL
N
Y
Y
Alberta Securities Commission
A0
British Columbia Securities Commission
A1
Manitoba Securities Commission
A2
New Brunswick Securities Commission
A3
Nova Scotia Securities Commission
A5
Ontario Securities Commission
A6
German Federal Financial Supervisory Agency
2M
The National Commission for Companies and the Stock Exchange
L6
The Netherlands Authority for the Financial Markets
P7
AUTORITE MARCHE FINANCIERS - QUEBEC
A8
AGENCE FRANCE TRESOR
I0
THE IRISH PANEL ON TAKEOVER AND MERGERS (ITP)
L2
POLISH FINANCIAL SUPERVISORY AUTHORITY (KNF)
R9
QATAR FINANCIAL CENTRE REGULATORY AUTHORITY
S3
DUBAI FINANCIAL SERVICES AUTHORITY
C0
THE PANEL ON TAKEOVER AND MERGERS (LTP)
X0
Financial Services Board
T3
National Commission of Securities Markets
U3
Swedish Financial Supervisory Authority
V7
Swiss Financial Market Supervisory Authority
V8
Financial Conduct Authority
X0
Financial and Consumer Affairs Authority of Saskatchewan
A9
Prudential Regulation Authority
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Swap Dealer
GOLDMAN SACHS JAPAN CO., LTD.
GOLDMAN SACHS JAPAN CO., LTD.
N
Y
Y
BANK OF JAPAN
M0
FINANCIAL FUTURES ASSOCIATION OF JAPAN
M0
KANTO FINANCIAL BUREAU
M0
MINISTRY OF ECONOMY, TRADE AND INDUSTRY
M0
MINISTRY OF FINANCE
M0
SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION
M0
TOKYO METROPOLITAN GOVERNMENT
M0
Deposit Insurance Corporation of Japan
M0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Swap Dealer
GOLDMAN SACHS FINANCIAL MARKETS PTY LTD.
GOLDMAN SACHS FINANCIAL MARKETS PTY LTD.
N
Y
Y
Australian Securities and Investments Commission
C3
AUSTRALIAN TRANSACTION REPORTS AND ANALYSIS CENTRE (AUSTRAC)
C3
Add
Insurance company or agency
THE AYCO SERVICES AGENCY, L.P.
THE AYCO SERVICES AGENCY, L.P.
N
Y
N
Add
Insurance company or agency
THE AYCO SERVICES INSURANCE AGENCY, INC.
THE AYCO SERVICES INSURANCE AGENCY, INC.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Banking/Thrift institution
GOLDMAN SACHS BANK AG
GOLDMAN SACHS BANK AG
N
Y
Y
SWISS BANKERS ASSOCIATION
V8
SWISS FEDERAL BANKING COMMISSION
V8
SWISS NATIONAL BANK
V8
Federal Financial Supervisory Authority
2M
Add
Swap Dealer
Banking/Thrift institution
GOLDMAN SACHS BANK USA
GOLDMAN SACHS BANK USA
N
Y
Y
Financial Conduct Authority
X0
Prudential Regulation Authority
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS CANADA INC.
GOLDMAN SACHS CANADA INC.
N
Y
Y
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
Z4
Add
Investment Adviser
Commodity pool operator
Commodity trading advisor
Banking/Thrift institution
GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S/A
GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S/A
N
Y
Y
ANBIMA
D5
BACEN
D5
CVM
D5
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Swap Dealer
GOLDMAN SACHS FINANCIAL MARKETS, L.P.
GOLDMAN SACHS FINANCIAL MARKETS, L.P.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Swap Dealer
Banking/Thrift institution
GOLDMAN SACHS PARIS INC. ET CIE
GOLDMAN SACHS PARIS INC. ET CIE
N
Y
Y
Financial Markets Authority
I0
PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY (ACPR)
I0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
GOLDMAN SACHS AUSTRALIA PTY LTD
GOLDMAN SACHS AUSTRALIA PTY LTD
N
Y
Y
Australian Securities and Investments Commission
C3
Chi-X
C3
Australian Transaction Reports and Analysis Centre (AUSTRAC)
C3
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS SAUDI ARABIA
GOLDMAN SACHS SAUDI ARABIA
N
Y
Y
CAPITAL MARKET AUTHORITY OF SAUDI ARABIA
T0
Add
Trust Company
THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE
THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
MERCER ALLIED COMPANY, L.P.
MERCER ALLIED COMPANY, L.P.
N
Y
N
Add
Investment Adviser
Goldman Sachs Wealth Services, L.P.
Goldman Sachs Wealth Services, L.P.
N
Y
N
Add
Trust Company
THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION
THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION
N
Y
N
Add
Sponsor or syndicator of limited partnerships
CARIBBEAN FUND GEN-PAR 2005, LLC
CARIBBEAN FUND GEN-PAR 2005, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS INFRASTRUCTURE ADVISORS 2006, L.L.C.
GS INFRASTRUCTURE ADVISORS 2006, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD.
GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD.
OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GOLDMAN, SACHS MANAGEMENT GP GMBH
GOLDMAN, SACHS MANAGEMENT GP GMBH
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS ADVISORS V AIV, LTD.
GS ADVISORS V AIV, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C.
GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS ADVISORS VI, L.L.C.
GS ADVISORS VI, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS ADVISORS VI AIV, LTD.
GS ADVISORS VI AIV, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD.
GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD.
GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS LOAN PARTNERS I ADVISORS, LTD.
GS LOAN PARTNERS I ADVISORS, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C.
GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS MEZZANINE ADVISORS V, L.L.C.
GS MEZZANINE ADVISORS V, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C.
GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C.
WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WH PARALLEL ADVISORS, L.L.C. 2007
WH PARALLEL ADVISORS, L.L.C. 2007
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WH ADVISORS, L.L.C. 2007
WH ADVISORS, L.L.C. 2007
N
Y
N
Add
Sponsor or syndicator of limited partnerships
MBD 2011 OFFSHORE ADVISORS, INC.
MBD 2011 OFFSHORE ADVISORS, INC.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH
GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Swap Dealer
J. ARON & COMPANY LLC
J. ARON & COMPANY LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Company
GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED
GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED
N
Y
Y
Securities and Exchange Board of India
K7
Add
Banking/Thrift institution
Sponsor or syndicator of limited partnerships
THE GOLDMAN SACHS GROUP, INC.
THE GOLDMAN SACHS GROUP, INC.
Y
N
N
Add
Sponsor or syndicator of limited partnerships
BROAD STREET ENERGY ADVISORS AIV-1, L.L.C.
BROAD STREET ENERGY ADVISORS AIV-1, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
BROAD STREET ENERGY ADVISORS, L.L.C.
BROAD STREET ENERGY ADVISORS, L.L.C.
N
Y
N
Add
Investment Adviser
GOLDMAN SACHS GLOBAL SERVICES II LIMITED
GOLDMAN SACHS GLOBAL SERVICES II LIMITED
N
Y
N
Add
Insurance company or agency
ARROW REINSURANCE COMPANY, LIMITED
ARROW REINSURANCE COMPANY, LIMITED
N
Y
Y
BERMUDA MINISTRY OF FINANCE
D0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS (ASIA) FINANCE
GOLDMAN SACHS (ASIA) FINANCE
N
Y
N
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS (CHINA) L.L.C.
GOLDMAN SACHS (CHINA) L.L.C.
N
Y
Y
China Securities Regulatory Commission
F4
Add
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED
GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED
N
Y
Y
Securities and Exchange Board of India
K7
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD
N
Y
Y
Financial Services Agency
M0
KANTO FINANCIAL BUREAU
M0
MINISTRY OF LAND, INFRASTRUCTURE, TRANSPORT AND TOURISM
M0
SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION
M0
TOKYO METROPOLITAN GOVERNMENT
M0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A
N
Y
Y
BACEN
D5
CVM
D5
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS (CHINA) SECURITIES COMPANY LIMITED
GOLDMAN SACHS (CHINA) SECURITIES COMPANY LIMITED
N
Y
Y
China Securities Regulatory Commission
F4
Amend
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS FUTURES (SHENZEN) CO., LTD.
GOLDMAN SACHS FUTURES (SHENZEN) CO., LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD
N
Y
Y
Australian Securities and Investments Commission
C3
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS MANAGEMENT PARTNERS, L.P.
GOLDMAN SACHS MANAGEMENT PARTNERS, L.P.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS NEW ZEALAND LIMITED
GOLDMAN SACHS NEW ZEALAND LIMITED
N
Y
Y
FINANCIAL MARKETS AUTHORITY
Q2
NEW ZEALAND COMPANIES OFFICE
Q2
ustralian Transaction Reports and Analysis Centre (AUSTRAC)
C3
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.
N
Y
Y
National Commission for Banking and Securities
O5
BANCO DE MEXICO
O5
Add
Investment Adviser
GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED
GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED
N
Y
Y
THE RESERVE BANK OF INDIA
K7
Add
Sponsor or syndicator of limited partnerships
BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C.
BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
MBD ADVISORS, L.L.C.
MBD ADVISORS, L.L.C.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS FUTURES PTE LTD
GOLDMAN SACHS FUTURES PTE LTD
N
Y
Y
Monetary Authority of Singapore
U0
Singapore Exchange Securities Trading Limited SGX-ST
U0
Singapore Exchange Derivatives Limited SGX-DT
U0
Add
Investment Company
GOLDMAN SACHS TRUST
GOLDMAN SACHS TRUST
N
Y
N
Add
Investment Company
GOLDMAN SACHS VARIABLE INSURANCE TRUST
GOLDMAN SACHS VARIABLE INSURANCE TRUST
N
Y
N
Add
Investment Company
GOLDMAN SACHS TRUST II
GOLDMAN SACHS TRUST II
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Banking/Thrift institution
GOLDMAN SACHS INTERNATIONAL BANK
GOLDMAN SACHS INTERNATIONAL BANK
N
Y
Y
Financial Conduct Authority (FCA)
X0
Prudential Regulation Authority (PRA) (Bank of England)
X0
Add
Sponsor or syndicator of limited partnerships
BROAD STREET INFRASTRUCTURE ADVISORS III, L.L.C.
BROAD STREET INFRASTRUCTURE ADVISORS III, L.L.C.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS (ASIA) SECURITIES LIMITED
GOLDMAN SACHS (ASIA) SECURITIES LIMITED
N
Y
Y
China Securities Regulatory Commission
F4
Hong Kong Securities & Futures Commission
K3
Add
Investment Company
GOLDMAN SACHS TRUST - GOLDMAN SACHS MLP ENERGY INFRASTRUCTURE FUND
GOLDMAN SACHS TRUST - GOLDMAN SACHS MLP ENERGY INFRASTRUCTURE FUND
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS FUND HOLDINGS, L.L.C.
GS FUND HOLDINGS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS MEZZANINE PARTNERS VI SPONSOR, L.L.C.
GS MEZZANINE PARTNERS VI SPONSOR, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GSAM GEN-PAR, L.L.C.
GSAM GEN-PAR, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WHITEHALL SPECIAL GEN-PAR 2005, LLC
WHITEHALL SPECIAL GEN-PAR 2005, LLC
N
Y
N
Add
Investment Adviser
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED
GOLDMAN SACHS ASSET MANAGEMENT (HONG KONG) LIMITED
N
Y
Y
Securities and Futures Commission
BFK567
K3
Australian Securities and Investments Commission
C3
Monetary Authority of Singapore
U0
Financial Supervisory Commission / Financial Supervisory Service
M5
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD.
GOLDMAN SACHS ASSET MANAGEMENT (SINGAPORE) PTE. LTD.
N
Y
Y
Monetary Authority of Singapore
CMS1004671
U0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED
N
Y
Y
Financial Services Commission in Mauritius
O4
Securities and Exchange Board of India
K7
Category 1 Global Business Licence (by Financial Services Commission)
O4
Foreign Institutional Investor (by Securities and Exchange Board of India)
K7
Investment Adviser (by Financial Services Commission)
K7
Add
Investment Company
Goldman Sachs Private Middle Market Credit LLC
Goldman Sachs Private Middle Market Credit LLC
N
Y
N
Add
Investment Adviser
GS INVESTMENT STRATEGIES CANADA INC.
GS INVESTMENT STRATEGIES CANADA INC.
N
Y
Y
Ontario Securities Commission
A6
British Columbia Securities Commission
A1
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
FOLIO INVESTMENTS, INC.
FOLIO INVESTMENTS, INC.
N
Y
N
Add
Investment Adviser
Beijing Goldman Sachs Consulting Co., Ltd.
Beijing Goldman Sachs Consulting Co., Ltd.
N
Y
N
Add
Investment Adviser
Goldman Sachs Broad Street
Goldman Sachs Broad Street
N
Y
N
Add
Investment Adviser
GOLDMAN SACHS SERVICES (HONG KONG) LIMITED
GOLDMAN SACHS SERVICES (HONG KONG) LIMITED
N
Y
Y
Hong Kong Securities & Futures Commission
F4
Add
Investment Adviser
GOLDMAN SACHS SERVICES PRIVATE LIMITED
GOLDMAN SACHS SERVICES PRIVATE LIMITED
N
Y
N
Add
Investment Adviser
GS Global Services II Limited
GS Global Services II Limited
N
Y
N
Add
Investment Adviser
GS India Securities PVT. LTD.
GS India Securities PVT. LTD.
N
Y
N
Add
Investment Adviser
GS Realty Management EUR GmbH
GS Realty Management EUR GmbH
N
Y
N
Add
Investment Adviser
GS Services (Hong Kong) Ltd.
GS Services (Hong Kong) Ltd.
N
Y
N
Add
Investment Adviser
GS Services Private LTD
GS Services Private LTD
N
Y
N
Add
Investment Adviser
GOLDMAN SACHS BANK EUROPE SE
GOLDMAN SACHS BANK EUROPE SE
N
Y
N
Add
Sponsor or syndicator of limited partnerships
BSPI OZ FUND GP LLC
BSPI OZ FUND GP LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
Broad Street Luxembourg S.A.R.L.
Broad Street Luxembourg S.A.R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
SF US RE ADVISORS LLC
SF US RE ADVISORS LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET CAPITAL PARTNERS VII ADVISORS B, LTD.
WEST STREET CAPITAL PARTNERS VII ADVISORS B, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET CAPITAL PARTNERS VII ADVISORS S.A R.L.
WEST STREET CAPITAL PARTNERS VII ADVISORS S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET CAPITAL PARTNERS VII ADVISORS, L.L.C.
WEST STREET CAPITAL PARTNERS VII ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
U.S. REAL PROPERTY INCOME FUND ADVISORS LLC
U.S. REAL PROPERTY INCOME FUND ADVISORS LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WSIP EAGLE GP, L.L.C.
WSIP EAGLE GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WSIP III CANAL GP S.A.R.L.
WSIP III CANAL GP S.A.R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
CBM INVESTORS ADVISORS, L.L.C.
CBM INVESTORS ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
CP VII ESC Advisors, L.L.C.
CP VII ESC Advisors, L.L.C.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Banking/Thrift institution
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A.
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S.A.
N
Y
Y
CVM (Securities Exchange Commission)
D5
BACEN
D5
Add
Sponsor or syndicator of limited partnerships
GOLDMAN SACHS SOCIAL IMPACT FUND GP, LLC
GOLDMAN SACHS SOCIAL IMPACT FUND GP, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GS TK HOLDINGS II GK
GS TK HOLDINGS II GK
N
Y
N
Add
Sponsor or syndicator of limited partnerships
GSG UIG OZ GP INVESTOR LLC
GSG UIG OZ GP INVESTOR LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
West Street Co-Investment Partners (C) GP, L.L.C.
West Street Co-Investment Partners (C) GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
West Street CT Private Credit Advisors, L.L.C.
West Street CT Private Credit Advisors, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET EP GP, LLC
WEST STREET EP GP, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET FAIRWAY PARTNERS ADVISORS, L.L.C.
WEST STREET FAIRWAY PARTNERS ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET GCPD GP, LLC
WEST STREET GCPD GP, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET INFRASTRUCTURE ADVISORS IV, L.L.C.
WEST STREET INFRASTRUCTURE ADVISORS IV, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET INFRASTRUCTURE ADVISORS IV, S.A R.L.
WEST STREET INFRASTRUCTURE ADVISORS IV, S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE CREDIT PARTNERS IV GP, L.L.C.
WEST STREET REAL ESTATE CREDIT PARTNERS IV GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE INVESTMENT PARTNERS ADVISORS, LTD.
WEST STREET REAL ESTATE INVESTMENT PARTNERS ADVISORS, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE INVESTMENT PARTNERS GP, L.L.C.
WEST STREET REAL ESTATE INVESTMENT PARTNERS GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE PARTNERS (G) GP ADVISORS, L.L.C.
WEST STREET REAL ESTATE PARTNERS (G) GP ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE SECONDARY PARTNERS GP, L.L.C.
WEST STREET REAL ESTATE SECONDARY PARTNERS GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C.
WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C.
WEST STREET SENIOR CREDIT PARTNERS III ADVISOR, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET STRATEGIC SOLUTIONS GP, L.L.C.
WEST STREET STRATEGIC SOLUTIONS GP, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
Goldman Sachs Alternative Assets S.a r.l.
Goldman Sachs Alternative Assets S.a r.l.
N
Y
Y
Grand Duchy of - Commission to Surveillance of the Finance Sector
N4
Add
Investment Adviser
Goldman Sachs Asset Management B.V.
Goldman Sachs Asset Management B.V.
N
Y
Y
The Netherlands Authority for the Financial Markets
P7
Add
Investment Adviser
Goldman Sachs Asset Management Belgium S.A.
Goldman Sachs Asset Management Belgium S.A.
N
Y
Y
Banking, Finance and Insurance Commission
C9
Add
Investment Adviser
Goldman Sachs Asset Management Schweiz GmbH
Goldman Sachs Asset Management Schweiz GmbH
N
Y
Y
Swiss Financial Market Supervisory Authority
V8
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Goldman Sachs Beleggersgiro B.V.
Goldman Sachs Beleggersgiro B.V.
N
Y
N
Add
Investment Adviser
Goldman Sachs Global Services II Limited
Goldman Sachs Global Services II Limited
N
Y
N
Add
Investment Adviser
Goldman Sachs Promocion de Productos Financieros S.A.?
Goldman Sachs Promocion de Productos Financieros S.A.?
N
Y
N
Add
Investment Adviser
Goldman Sachs Towarzystwo Funduszy Inwestycyjnych S.A.
Goldman Sachs Towarzystwo Funduszy Inwestycyjnych S.A.
N
Y
Y
POLISH FINANCIAL SUPERVISION AUTHORITY
R9
Add
Banking/Thrift institution
VENN HYPOTHEKEN B.V.
VENN HYPOTHEKEN B.V.
N
Y
Y
The Netherlands Authority for the Financial Markets
P7
Add
Sponsor or syndicator of limited partnerships
WEST STREET EUROPEAN RE PARTNERS (P) GP S.A R.L.
WEST STREET EUROPEAN RE PARTNERS (P) GP S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET OFFSHORE INFRASTRUCTURE PARTNERS IV CO-INVESTMENT ADVISORS, L.L.C.
WEST STREET OFFSHORE INFRASTRUCTURE PARTNERS IV CO-INVESTMENT ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE CREDIT PARTNERS (G) GP ADVISORS, L.L.C.
WEST STREET REAL ESTATE CREDIT PARTNERS (G) GP ADVISORS, L.L.C.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE CREDIT PARTNERS IV ADVISORS S.A R.L.
WEST STREET REAL ESTATE CREDIT PARTNERS IV ADVISORS S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE CREDIT PARTNERS IV OFFSHORE ADVISORS, LTD.
WEST STREET REAL ESTATE CREDIT PARTNERS IV OFFSHORE ADVISORS, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET REAL ESTATE INVESTMENT PARTNERS S.A R.L.
WEST STREET REAL ESTATE INVESTMENT PARTNERS S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET U.S. LOGISTICS (C) ADVISORS, LTD.
WEST STREET U.S. LOGISTICS (C) ADVISORS, LTD.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET U.S. LOGISTICS (K) GP ADVISORS LLC
WEST STREET U.S. LOGISTICS (K) GP ADVISORS LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET US REAL ESTATE PARTNERS (G) ADVISORS, L.L.C.
WEST STREET US REAL ESTATE PARTNERS (G) ADVISORS, L.L.C.
N
Y
N
Add
Investment Adviser
GOLDMAN SACHS ICBC WEALTH MANAGEMENT CO., LTD.
GOLDMAN SACHS ICBC WEALTH MANAGEMENT CO., LTD.
N
Y
Y
CHINA BANKING REGULATORY COMMISSION
F4
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
SBI JAPANNEXT CO., LTD.
SBI JAPANNEXT CO., LTD.
N
Y
Y
FINANCIAL SERVICES AGENCY
M0
Add
Sponsor or syndicator of limited partnerships
ASIA RENEWABLES INVESTMENT PARTNERS GP, LLC
ASIA RENEWABLES INVESTMENT PARTNERS GP, LLC
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET LOAN PARTNERS V ADVISORS, S.A R.L.
WEST STREET LOAN PARTNERS V ADVISORS, S.A R.L.
N
Y
N
Add
Sponsor or syndicator of limited partnerships
WEST STREET U.S. HOUSING PARTNERS GP LLC
WEST STREET U.S. HOUSING PARTNERS GP LLC
N
Y
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
GOLDMAN SACHS GROUP INC
0000886982
Schedule A
Item 1.I Location of Books and Records:
In addition to the five locations listed in Item 1, the applicant may maintain certain books and records at the following locations:
125 High Street
20th Floor
Boston, MA 02110-2704
1-617-204-2000
3414 Peachtree Street, N.E.
Suite 600
Atlanta, GA 30326
1-404-846-7200
Item 1.K: Business Affiliates of the Applicant
The applicant is an operating subsidiary of The Goldman Sachs Group, Inc. ("GS Group"), which is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The number of the affiliates of the applicant is extensive, and due to the breadth of their global operations, the firm is including in response to Item 1.K. the direct owners of the applicant and the significant subsidiaries of the parent company of the applicant, GS Group, as provided in the most recent Form 10-K of GS Group ("Specified Affiliates").
Certain Specified Affiliates are registered or licensed to trade or advise in securities or derivatives, and/or are members of a securities or derivatives exchange, SRO or similar organization, and/or rely on exemptions from such registrations, licenses or exemptions. Although we have listed the primary regulators where applicable in response to Item 1.K(2), it is impractical to list all federal, state or foreign registrations of such affiliates, since this may change from time to time in the ordinary course of business.
Item 4.F: Information About Applicant's Business; Clients
The applicant has identified one client in Item 4.F. However, there are instances during the year where the applicant is not engaged as a municipal advisor but may be involved in municipal advisory activity with respect to non-municipal issuers or obligated persons.
Item 7.A(3): Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee Transactions; Proprietary Interest in Municipal Advisory Client or Solicitee Transactions
Although the applicant has responded affirmatively to Item 7.A.(3), it has not and does not intend to enter into derivatives contracts with the one municipal entity client with whom the applicant is engaged as a municipal advisor.
Y
Y
Y
Y
Y
Y
N
Y
Y
Y
Y
N
Y
Y
N
Y
N
N
N
Y
Y
Y
Y
N
N
Y
THE GOLDMAN SACHS GROUP, INC.
Y
13-4019460
CLASS A MEMBER
04-28-2017
E
Y
DAVID
MICHAEL
SOLOMON
MANAGER
04-28-2017
NA
Y
1616414
BRIAN
RICHARD
DOYLE
CHIEF FINANCIAL OFFICER
11-04-2019
NA
N
6003685
JOHN
EDWARD
WALDRON
CHIEF EXECUTIVE OFFICER, MANAGER
12-17-2018
NA
Y
2569337
KATHRYN
HELEN
RUEMMLER
CHIEF LEGAL OFFICER, MANAGER
03-31-2021
NA
Y
7250761
DENIS
PATRICK
COLEMAN III
MANAGER
01-01-2022
NA
Y
2782373
DARIAN
M
FUTRELL
CHIEF COMPLIANCE OFFICER
05-10-2023
NA
N
5219026
THE GOLDMAN SACHS GROUP, INC.
Y
13-4019460
CLASS A MEMBER
04-28-2017
E
Y
DAVID
MICHAEL
SOLOMON
MANAGER
04-28-2017
NA
Y
1616414
BRIAN
RICHARD
DOYLE
CHIEF FINANCIAL OFFICER
11-04-2019
NA
N
6003685
JOHN
EDWARD
WALDRON
CHIEF EXECUTIVE OFFICER, MANAGER
12-17-2018
NA
Y
2569337
KATHRYN
HELEN
RUEMMLER
CHIEF LEGAL OFFICER, MANAGER
03-31-2021
NA
Y
7250761
DENIS
PATRICK
COLEMAN III
MANAGER
01-01-2022
NA
Y
2782373
DARIAN
M
FUTRELL
CHIEF COMPLIANCE OFFICER
05-10-2023
NA
N
5219026
1
9-B2
MARK
ALEXANDER
SOMERS
N
5549614
MARK ALEXANDER SOMERS
5549614
1406896
1
9-B1
9-B2
MTGLQ INVESTORS, L.P.
N
GOLDMAN, SACHS & CO.
361
1529131
3
9-A2
GOLDMAN SACHS (ASIA) L.L.C.
N
GOLDMAN SACHS & CO. LLC
361
2010546
GOLDMAN SACHS (SINGAPORE) PTE.
N
GOLDMAN SACHS & CO. LLC
361
2010546
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2010546
1
9-A2
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
2094890
1
9-A1
9-A2
Goldman Sachs (Malaysia) Sdn. Bhd.
N
Goldman Sachs & Co. LLC
361
2094891
9-E2
Goldman, Sachs & Co.
361
1706941
9-E2
Goldman, Sachs & Co.
361
1701795
9-E2
Goldman, Sachs & Co.
361
1701169
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1691191
9-E2
GOLDMAN, SACHS & CO.
361
1691526
9-E2
GOLDMAN, SACHS & CO.
361
1684048
9-E2
GOLDMAN, SACHS & CO.
361
1691192
1
9-E2
J. ARON & COMPANY
N
GOLDMAN, SACHS & CO.
361
1682653
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1679917
9-E2
GOLDMAN, SACHS & CO.
361
1679237
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1663602
9-E2
GOLDMAN, SACHS & CO.
361
1663601
9-E2
GOLDMAN, SACHS & CO.
361
1661012
9-E2
GOLDMAN, SACHS & CO.
361
1653947
9-E2
GOLDMAN, SACHS & CO.
361
1653357
9-E2
GOLDMAN, SACHS & CO.
361
1651028
9-E2
GOLDMAN, SACHS & CO.
361
1651022
9-E2
GOLDMAN, SACHS & CO.
361
1651017
9-E2
GOLDMAN, SACHS & CO.
361
1650268
9-E2
GOLDMAN, SACHS & CO.
361
1641244
9-E2
GOLDMAN, SACHS & CO.
361
1639393
9-E2
GOLDMAN, SACHS & CO.
361
1638242
9-E2
GOLDMAN, SACHS & CO.
361
1636603
9-E2
GOLDMAN, SACHS & CO.
361
1632467
9-E2
GOLDMAN, SACHS & CO.
361
1631806
9-E2
GOLDMAN, SACHS & CO.
361
1630993
9-E2
GOLDMAN, SACHS & CO.
361
1630823
1
9-E2
MTGLQ INVESTORS, L.P.
N
GOLDMAN, SACHS & CO.
361
1630393
9-E2
GOLDMAN, SACHS & CO.
361
1629669
9-E2
GOLDMAN, SACHS & CO.
361
1629490
9-E2
GOLDMAN, SACHS & CO.
361
1628920
9-E2
GOLDMAN, SACHS & CO.
361
1628249
9-E2
GOLDMAN, SACHS & CO.
361
1628179
1
9-E2
GOLDMAN SACHS SAUDI ARABIA
N
GOLDMAN, SACHS & CO.
361
1625434
9-E2
GOLDMAN, SACHS & CO.
361
1620974
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1610304
1
9-E2
GOLDMAN SACHS STRUCTURED PRODUCTS (ASIA) LIMITED
N
GOLDMAN, SACHS & CO.
361
1608675
9-E2
GOLDMAN, SACHS & CO.
361
1607252
9-E2
GOLDMAN, SACHS & CO.
361
1606294
9-E2
GOLDMAN, SACHS & CO.
361
1606247
9-E2
GOLDMAN, SACHS & CO.
361
1606244
9-E2
GOLDMAN, SACHS & CO.
361
1605776
9-E2
GOLDMAN, SACHS & CO.
361
1600171
9-E2
GOLDMAN, SACHS & CO.
361
1592388
9-E2
GOLDMAN, SACHS & CO.
361
1592385
9-E2
GOLDMAN, SACHS & CO.
361
1592366
9-E2
GOLDMAN, SACHS & CO.
361
1589895
9-E2
GOLDMAN, SACHS & CO.
361
1589894
9-E2
GOLDMAN, SACHS & CO.
361
1589893
9-E2
GOLDMAN, SACHS & CO.
361
1589891
9-E2
GOLDMAN, SACHS & CO.
361
1587471
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1587470
9-E2
GOLDMAN, SACHS & CO.
361
1587469
1
9-E2
GOLDMAN SACHS AUSTRALIA PTY LDT (F/K/A GOLDMAN SACHS & PARTNERS AUSTRALIA PTY LTD)
N
GOLDMAN, SACHS & CO.
361
1578762
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1573082
1
9-E2
GS EQUITY MARKETS, L.P.
N
GOLDMAN, SACHS & CO.
361
1573079
9-E2
GOLDMAN, SACHS & CO.
361
1570440
9-E2
GOLDMAN, SACHS & CO.
361
1570439
9-E2
GOLDMAN, SACHS & CO.
361
1570438
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1569959
9-E2
GOLDMAN, SACHS & CO.
361
1567172
9-E2
GOLDMAN, SACHS & CO.
361
1565186
9-E2
GOLDMAN, SACHS & CO.
361
1565185
9-E2
GOLDMAN, SACHS & CO.
361
1561940
9-E2
GOLDMAN, SACHS & CO.
361
1559618
9-E2
GOLDMAN, SACHS & CO.
361
1557233
9-E2
GOLDMAN, SACHS & CO.
361
1550319
9-E2
GOLDMAN, SACHS & CO.
361
1548481
9-E2
GOLDMAN, SACHS & CO.
361
1548480
9-E2
GOLDMAN, SACHS & CO.
361
1548478
9-E2
GOLDMAN, SACHS & CO.
361
1548477
9-E2
GOLDMAN, SACHS & CO.
361
1548475
9-E2
GOLDMAN, SACHS & CO.
361
1548472
9-E2
GOLDMAN, SACHS & CO.
361
1544689
9-E2
GOLDMAN, SACHS & CO.
361
1542832
9-E2
GOLDMAN, SACHS & CO.
361
1541961
9-E2
GOLDMAN, SACHS & CO.
361
1541937
9-E2
GOLDMAN, SACHS & CO.
361
1537314
9-E2
GOLDMAN, SACHS & CO.
361
1537313
9-E2
GOLDMAN, SACHS & CO.
361
1537312
9-E2
GOLDMAN, SACHS & CO.
361
1537311
9-E2
GOLDMAN, SACHS & CO.
361
1535415
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1530250
9-E2
GOLDMAN, SACHS & CO.
361
1530249
9-E2
GOLDMAN, SACHS & CO.
361
1527912
9-E2
GOLDMAN, SACHS & CO.
361
1525446
9-E2
GOLDMAN, SACHS & CO.
361
1525353
9-E2
GOLDMAN, SACHS & CO.
361
1523657
9-E2
GOLDMAN, SACHS & CO.
361
1520007
9-E2
GOLDMAN, SACHS & CO.
361
1519611
9-E2
GOLDMAN, SACHS & CO.
361
1519610
9-E2
GOLDMAN, SACHS & CO.
361
1519609
9-E2
GOLDMAN, SACHS & CO.
361
1519608
9-E2
GOLDMAN, SACHS & CO.
361
1519607
9-E2
GOLDMAN, SACHS & CO.
361
1519606
9-E2
GOLDMAN, SACHS & CO.
361
1519605
9-E2
GOLDMAN, SACHS & CO.
361
1519604
9-E2
GOLDMAN, SACHS & CO.
361
1519484
9-E2
GOLDMAN, SACHS & CO.
361
1513680
9-E2
GOLDMAN, SACHS & CO.
361
1512499
9-E2
GOLDMAN, SACHS & CO.
361
1511443
9-E2
GOLDMAN, SACHS & CO.
361
1511264
9-E2
GOLDMAN, SACHS & CO.
361
1511263
9-E2
GOLDMAN, SACHS & CO.
361
1511261
9-E2
GOLDMAN, SACHS & CO.
361
1511259
9-E2
GOLDMAN, SACHS & CO.
361
1511258
9-E2
GOLDMAN, SACHS & CO.
361
1511257
9-E2
GOLDMAN, SACHS & CO.
361
1511255
9-E2
GOLDMAN, SACHS & CO.
361
1510601
9-E2
GOLDMAN, SACHS & CO.
361
1507717
9-E2
GOLDMAN, SACHS & CO.
361
1502496
9-E2
GOLDMAN, SACHS & CO.
361
1478214
9-E2
GOLDMAN, SACHS & CO.
361
1463922
9-E2
GOLDMAN, SACHS & CO.
361
1457278
9-E2
GOLDMAN, SACHS & CO.
361
1447852
9-E2
GOLDMAN, SACHS & CO.
361
1437306
9-E2
GOLDMAN, SACHS & CO.
361
1435202
9-E2
GOLDMAN, SACHS & CO.
361
1431855
9-E2
GOLDMAN, SACHS & CO.
361
1421948
9-E2
GOLDMAN, SACHS & CO.
361
1421094
9-E2
GOLDMAN, SACHS & CO.
361
1397110
9-E2
GOLDMAN, SACHS & CO.
361
1392886
9-E2
GOLDMAN, SACHS & CO.
361
1389294
9-E2
GOLDMAN, SACHS & CO.
361
1376440
9-E2
GOLDMAN, SACHS & CO.
361
1367197
9-E2
GOLDMAN, SACHS & CO.
361
1360383
9-E2
GOLDMAN, SACHS & CO.
361
1346223
9-E2
GOLDMAN, SACHS & CO.
361
1346219
1
9-E2
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LTD.
N
GOLDMAN, SACHS & CO.
361
1339473
9-E2
GOLDMAN, SACHS & CO.
361
1335354
9-E2
GOLDMAN, SACHS & CO.
361
1322019
9-E2
GOLDMAN, SACHS & CO.
361
1316174
9-E2
GOLDMAN, SACHS & CO.
361
1313961
9-E2
GOLDMAN, SACHS & CO.
361
1307228
9-E2
GOLDMAN, SACHS & CO.
361
1305157
9-E2
GOLDMAN, SACHS & CO.
361
1304418
1
9-E2
GOLDMAN SACHS ASSET MANAGEMENT CO. LTD.
N
GOLDMAN, SACHS & CO.
361
1289935
9-E2
GOLDMAN, SACHS & CO.
361
1283063
9-E2
GOLDMAN, SACHS & CO.
361
1278770
9-E2
GOLDMAN, SACHS & CO.
361
1276046
9-E2
GOLDMAN, SACHS & CO.
361
1266079
9-E2
GOLDMAN, SACHS & CO.
361
1263380
9-E2
GOLDMAN, SACHS & CO.
361
1260637
9-E2
GOLDMAN, SACHS & CO.
361
1248000
9-E2
GOLDMAN, SACHS & CO.
361
1245304
9-E2
GOLDMAN, SACHS & CO.
361
1244733
9-E2
GOLDMAN, SACHS & CO.
361
1244732
9-E2
GOLDMAN, SACHS & CO.
361
1244658
9-E2
GOLDMAN, SACHS & CO.
361
1235486
9-E2
GOLDMAN, SACHS & CO.
361
1215429
9-E2
GOLDMAN, SACHS & CO.
361
1214960
9-E2
GOLDMAN, SACHS & CO.
361
1214958
9-E2
GOLDMAN, SACHS & CO.
361
1212973
9-E2
GOLDMAN, SACHS & CO.
361
1211564
9-E2
GOLDMAN, SACHS & CO.
361
1210691
9-E2
GOLDMAN, SACHS & CO.
361
1210589
9-E2
GOLDMAN, SACHS & CO.
361
1205044
9-E2
GOLDMAN, SACHS & CO.
361
1197945
9-E2
GOLDMAN, SACHS & CO.
361
1197944
9-E2
GOLDMAN, SACHS & CO.
361
1197943
9-E2
GOLDMAN, SACHS & CO.
361
1197941
9-E2
GOLDMAN, SACHS & CO.
361
1197939
9-E2
GOLDMAN, SACHS & CO.
361
1197938
9-E2
GOLDMAN, SACHS & CO.
361
1197937
9-E2
GOLDMAN, SACHS & CO.
361
1197936
9-E2
GOLDMAN, SACHS & CO.
361
1197935
9-E2
GOLDMAN, SACHS & CO.
361
1197934
9-E2
GOLDMAN, SACHS & CO.
361
1197931
9-E2
GOLDMAN, SACHS & CO.
361
1197927
9-E2
GOLDMAN, SACHS & CO.
361
1197925
9-E2
GOLDMAN, SACHS & CO.
361
1197922
9-E2
GOLDMAN, SACHS & CO.
361
1197921
9-E2
GOLDMAN, SACHS & CO.
361
1197920
9-E2
GOLDMAN, SACHS & CO.
361
1197919
9-E2
GOLDMAN, SACHS & CO.
361
1197918
9-E2
GOLDMAN, SACHS & CO.
361
1197917
9-E2
GOLDMAN, SACHS & CO.
361
1197916
9-E2
GOLDMAN, SACHS & CO.
361
1197915
9-E2
GOLDMAN, SACHS & CO.
361
1197914
9-E2
GOLDMAN, SACHS & CO.
361
1197913
9-E2
GOLDMAN, SACHS & CO.
361
1197912
9-E2
GOLDMAN, SACHS & CO.
361
1197911
9-E2
GOLDMAN, SACHS & CO.
361
1197909
9-E2
GOLDMAN, SACHS & CO.
361
1197908
9-E2
GOLDMAN, SACHS & CO.
361
1197908
9-E2
GOLDMAN, SACHS & CO.
361
1197907
9-E2
GOLDMAN, SACHS & CO.
361
1197906
9-E2
GOLDMAN, SACHS & CO.
361
1197903
9-E2
GOLDMAN, SACHS & CO.
361
1197902
9-E2
GOLDMAN, SACHS & CO.
361
1197901
9-E2
GOLDMAN, SACHS & CO.
361
1197900
9-E2
GOLDMAN, SACHS & CO.
361
1197899
9-E2
GOLDMAN, SACHS & CO.
361
1197898
9-E2
GOLDMAN, SACHS & CO.
361
1197897
9-E2
GOLDMAN, SACHS & CO.
361
1197896
9-E2
GOLDMAN, SACHS & CO.
361
1189552
9-E2
GOLDMAN, SACHS & CO.
361
1181801
9-E2
GOLDMAN, SACHS & CO.
361
1180899
9-E2
GOLDMAN, SACHS & CO.
361
1176517
9-E2
GOLDMAN, SACHS & CO.
361
1176153
9-E2
GOLDMAN, SACHS & CO.
361
1175175
9-E2
GOLDMAN, SACHS & CO.
361
1175074
9-E2
GOLDMAN, SACHS & CO.
361
1168144
9-E2
GOLDMAN, SACHS & CO.
361
1164608
9-E2
GOLDMAN, SACHS & CO.
361
1164027
9-E2
GOLDMAN, SACHS & CO.
361
1163973
9-E2
GOLDMAN, SACHS & CO.
361
1157526
9-E2
GOLDMAN, SACHS & CO.
361
1147835
9-E2
GOLDMAN, SACHS & CO.
361
1135516
9-E2
GOLDMAN, SACHS & CO.
361
1134408
9-E2
GOLDMAN, SACHS & CO.
361
1120336
9-E2
GOLDMAN, SACHS & CO.
361
1113220
9-E2
GOLDMAN, SACHS & CO.
361
1111943
9-E2
GOLDMAN, SACHS & CO.
361
1110601
9-E2
GOLDMAN, SACHS & CO.
361
1110105
9-E2
GOLDMAN, SACHS & CO.
361
1095211
9-E2
GOLDMAN, SACHS & CO.
361
1083395
9-E2
GOLDMAN, SACHS & CO.
361
1017238
9-E2
GOLDMAN, SACHS & CO.
361
990325
9-E2
GOLDMAN, SACHS & CO.
361
968109
9-E2
GOLDMAN, SACHS & CO.
361
883564
9-E2
GOLDMAN, SACHS & CO.
361
833034
9-E2
GOLDMAN, SACHS & CO.
361
737029
9-E2
GOLDMAN, SACHS & CO.
361
718759
9-E2
GOLDMAN, SACHS & CO.
361
702438
9-E2
GOLDMAN, SACHS & CO.
361
684893
9-E2
GOLDMAN, SACHS & CO.
361
684890
9-E2
GOLDMAN, SACHS & CO.
361
684889
9-E2
GOLDMAN, SACHS & CO.
361
684763
9-E2
GOLDMAN, SACHS & CO.
361
684753
9-E2
GOLDMAN, SACHS & CO.
361
684745
9-E2
GOLDMAN, SACHS & CO.
361
684730
9-E2
GOLDMAN, SACHS & CO.
361
684728
9-E2
GOLDMAN, SACHS & CO.
361
684706
9-E2
GOLDMAN, SACHS & CO.
361
684704
9-E2
GOLDMAN, SACHS & CO.
361
684690
9-E2
GOLDMAN, SACHS & CO.
361
684687
9-E2
GOLDMAN, SACHS & CO.
361
684685
9-E2
GOLDMAN, SACHS & CO.
361
684684
9-E2
GOLDMAN, SACHS & CO.
361
684683
9-E2
GOLDMAN, SACHS & CO.
361
684682
9-E2
GOLDMAN, SACHS & CO.
361
684681
9-E2
GOLDMAN, SACHS & CO.
361
684679
1
9-E2
J. ARON & CO.
N
GOLDMAN, SACHS & CO.
361
683161
9-E2
GOLDMAN, SACHS & CO.
361
683148
9-E2
GOLDMAN, SACHS & CO.
361
683126
9-E2
GOLDMAN, SACHS & CO.
361
683114
9-E2
GOLDMAN, SACHS & CO.
361
683107
9-E2
GOLDMAN, SACHS & CO.
361
683096
9-E2
GOLDMAN, SACHS & CO.
361
683015
9-E2
GOLDMAN, SACHS & CO.
361
682961
1
9-E2
J. ARON
N
GOLDMAN, SACHS & CO.
361
684691
9-E2
GOLDMAN, SACHS & CO.
361
682566
1
9-E2
J. ARON
N
GOLDMAN, SACHS & CO.
361
681549
9-E2
GOLDMAN, SACHS & CO.
361
681512
1
9-E2
J. ARON
N
GOLDMAN, SACHS & CO.
361
681504
9-E2
GOLDMAN, SACHS & CO.
361
681492
9-E2
GOLDMAN, SACHS & CO.
361
681465
9-E2
GOLDMAN, SACHS & CO.
361
681449
9-E2
GOLDMAN, SACHS & CO.
361
669728
9-E2
GOLDMAN, SACHS & CO.
361
322393
9-E2
GOLDMAN, SACHS & CO.
361
256998
9-E2
GOLDMAN, SACHS & CO.
361
242881
9-E2
GOLDMAN, SACHS & CO.
361
232241
9-E2
GOLDMAN, SACHS & CO.
361
229970
9-E2
GOLDMAN, SACHS & CO.
361
228820
9-E2
GOLDMAN, SACHS & CO.
361
228812
9-E2
GOLDMAN, SACHS & CO.
361
228801
9-E2
GOLDMAN, SACHS & CO.
361
182184
9-E2
GOLDMAN, SACHS & CO.
361
150205
9-E2
GOLDMAN, SACHS & CO.
361
137459
9-E2
GOLDMAN, SACHS & CO.
361
110711
9-E2
GOLDMAN, SACHS & CO.
361
110709
9-E2
GOLDMAN, SACHS & CO.
361
110706
9-E2
GOLDMAN, SACHS & CO.
361
110705
9-E2
GOLDMAN, SACHS & CO.
361
110704
9-E2
GOLDMAN, SACHS & CO.
361
110703
9-E2
GOLDMAN, SACHS & CO.
361
110702
9-E2
GOLDMAN, SACHS & CO.
361
110701
9-E2
GOLDMAN, SACHS & CO.
361
110700
9-E2
GOLDMAN, SACHS & CO.
361
110699
9-E2
GOLDMAN, SACHS & CO.
361
110698
9-E2
GOLDMAN, SACHS & CO.
361
110697
9-E2
GOLDMAN, SACHS & CO.
361
110695
9-E2
GOLDMAN, SACHS & CO.
361
110691
9-E2
GOLDMAN, SACHS & CO.
361
110690
9-E2
GOLDMAN, SACHS & CO.
361
110688
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1447836
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1333969
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1279144
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1207507
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1193177
1
9-E2
REDI GLOBAL TECHNOLOGIES LLC
Y
008-49673
REDI GLOBAL TECHNOLOGIES LLC
41924
1191091
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1706267
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1698850
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1688637
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1671316
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1667265
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1664844
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1651843
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1637956
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1620473
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1619774
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1602647
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1600173
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1553138
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1525283
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1517176
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1516761
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1508645
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1507022
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1503864
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1502488
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1497183
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1496139
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1496074
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1478504
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1478493
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1450046
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1447845
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1446357
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1431121
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1384098
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1378532
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1376675
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1344306
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1343890
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1337577
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1324747
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1317710
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1317502
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1310619
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1299422
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1298225
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1282996
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1271230
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1244979
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1244871
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1232080
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1219869
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1218758
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1168166
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1148903
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1148773
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1130169
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1127484
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1116587
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1086547
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1073363
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1045747
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1044130
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1040975
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1027107
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1019301
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1013208
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
1012067
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
979334
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
869628
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
787476
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
720817
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
690486
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
685903
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
608764
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
608763
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591959
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591957
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591954
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591953
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591950
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591949
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591943
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591940
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591931
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591928
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591923
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591920
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591916
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591914
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591912
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591911
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591909
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591908
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591906
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591904
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591900
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591898
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591897
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591895
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591894
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591892
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591891
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591890
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
591889
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
322334
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
322313
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
322252
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
322214
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
319160
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
285001
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
278540
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
240313
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
229442
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
229442
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
203281
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
150192
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
146094
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
146092
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
137406
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110434
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110431
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110430
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110429
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110428
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110427
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110426
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110425
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110424
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110423
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110422
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110421
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110420
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110419
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110418
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110417
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110416
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110415
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110414
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110413
1
9-E2
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Y
008-00526
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
3466
110406
1
9-E2
THE GOLDMAN SACHS GROUP, INC.
N
GOLDMAN, SACHS & CO.
361
1581311
1
9-E2
GOLDMAN SACHS BANK USA
N
GOLDMAN, SACHS & CO.
361
1581311
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN, SACHS & CO.
361
1712383
9-E2
GOLDMAN, SACHS & CO.
361
1712382
9-E2
GOLDMAN, SACHS & CO.
361
1712381
9-E2
GOLDMAN, SACHS & CO.
361
1710211
9-E2
GOLDMAN, SACHS & CO.
361
1707555
9-E2
Goldman, Sachs & Co.
361
1714036
9-D2
Goldman, Sachs & Co.
361
1716262
9-E2
Goldman, Sachs & Co.
361
1717554
9-D2
Goldman, Sachs & Co.
361
1724299
9-E2
Goldman, Sachs & Co.
361
1726158
9-E2
Goldman, Sachs & Co.
361
1729719
9-E2
Goldman, Sachs & Co.
361
1734104
9-E2
Goldman, Sachs & Co.
361
1734105
9-E2
Goldman, Sachs & Co.
361
1734107
9-E2
Goldman, Sachs & Co.
361
1734108
9-E2
Goldman, Sachs & Co.
361
1734110
1
9-E2
Goldman Sachs International
N
Goldman Sachs International
361
1734112
1
9-D2
Goldman Sachs International
N
Goldman Sachs International
361
1734114
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00256
Goldman Sachs Execution & Clearing, L.P.
3466
1711713
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1723322
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1734087
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1734088
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1734089
9-E2
ICE Futures U.S., Inc.
2013-016/028
55 East 52nd Street
40th Floor
New York
NY
10955
The Summary Fine, in the amount of $15,000, was paid by submission of a wire on November 28, 2014.
11-19-2014
ICE Futures U.S., Inc.
CivilAdminPenaltyFine
Derivative(s)
ICE Futures U.S., Inc. ("IFUS") Compliance Department issued a Notice of Summary Fine, dated November 19, 2014, to Goldman, Sachs & Co. (the "Firm"), stating that: (i) on February 11, 2013 and March 11, 2013, the Firm failed to enter certain Crossing Orders ("CO") for certain opposing orders submitted simultaneously by a common account manager on behalf of accounts with separate beneficial owners; and (ii) specifically, on each date, the Firm entered certain opposing orders without the use of IFUS CO functionality, resulting in certain futures spreads transacting against one another, in violation of IFUS Rule 4.02(i)(2).
11-19-2014
Decision
Y
CivilAdminPenaltyFine
15000.00
15000.00
11-28-2014
15000.00
9-D2
Bourse de Montreal Inc.
12-011-DISC
800 Victoria Square
Montreal, QC
Z4
H4Z 1A9
On November 25, 2014, the Disciplinary Committee of the Bourse (the "Committee") informed the Firm of the Committee's approval of an offer of settlement (the "Offer of Settlement") negotiated between the staff of the Regulatory Division of the Bourse and the Firm. The Committee approved the Offer of Settlement on November 14, 2014. In the Offer of Settlement, the Firm agreed to the payment of a fine in the amount of CAD$65,000, as well as an additional amount of CAD$6,500 for costs, which amount was paid by submission of a wire on December 18, 2014. While the actual payment was made in Canadian dollars, using the most recently published Federal Reserve foreign exchange rate of CAD$1.1538:USD$1 as of December 12, 2014, the equivalent US Dollar value on December 12, 2014 was USD$61,969.15, which amount is reflected in Item 12.B. above. As indicated in the Committee's approval of the Offer of Settlement, upon learning of certain unapproved access to the electronic trading system of the Bourse, the Firm took corrective measures, and the Bourse noted that the problem was corrected.
07-16-2014
Bourse de Montreal Inc.
CivilAdminPenaltyFine
No Product
In an Originating Notice to Goldman, Sachs & Co. (the "Firm") dated June 18, 2013, The Bourse de Montreal Inc. (the "Bourse") alleged that, during the period from December 1, 2005 to June 30, 2012, the Firm provided certain personnel access to the electronic trading system of the Bourse without having obtained the prior approval of the Bourse, in alleged contravention of section A) of Article 6366 of the Rules of the Bourse.
11-25-2014
Decision
N
Y
CivilAdminPenaltyFine
62969.15
62969.15
12-18-2014
61969.15
9-E2
Chicago Board Options Exchange, Incorporated
14-0047
61 Broadway
New York
NY
10006
Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Consent which was approved by the CBOE Business Conduct Committee on December 1, 2014, and on December 9, 2014, the Firm submitted a wire in payment of the fine in the amount of $20,000.
12-01-2014
Chicago Board Options Exchange, Incorporated
Censure
CivilAdminPenaltyFine
Options
The Chicago Board Options Exchange, Incorporated ("CBOE") alleged that, during the approximate period from in or about January 2009 through in or about February 2011, Goldman, Sachs & Co. (the "Firm") failed: (i) on certain occasions, to grant priority to the highest bid and/or lowest offer when such bid or offer was available, and to use due diligence to execute certain orders at the best prices available, in alleged violation of CBOE Rules 6.45A, 6.45B and 6.73; and (ii) to assure compliance with such rules, in alleged violation of CBOE Rule 4.2.
12-01-2014
Consent
Y
Censure
CivilAdminPenaltyFine
20000.00
20000.00
12-09-2014
20000.00
1
9-E2
J. Aron & Company
N
ICE Futures U.S., Inc.
2013-155
55 East 52nd Street
41st Floor
New York
NY
10055
WITHOUT ADMITTING OR DENYING ANY VIOLATION OF IFUS RULES, J. ARON ENTERED INTO A SETTLEMENT AGREEMENT, WHICH WAS APPROVED BY THE BCC, IN WHICH J. ARON: (I) AGREED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF IFUS RULE 6.20(B); AND (II) CONSENTED TO A MONETARY PAYMENT OF $82,064 IN THE AGGREGATE, CONSISTING OF A FINE IN THE AMOUNT OF $20,000, AND DISGORGEMENT OF PROFITS IN THE AMOUNT OF $62,064, BOTH OF WHICH WERE PAID BY SUBMISSION OF A WIRE ON NOVEMBER 26, 2014.
11-24-2014
J. ARON & COMPANY
Disgorgement
Cease and Desist
CivilAdminPenaltyFine
Derivative(s)
ICE FUTURES U.S., INC. ("IFUS") BUSINESS CONDUCT COMMITTEE ("BCC") DETERMINED THAT J. ARON & COMPANY ("J. ARON") MAY HAVE, IN ONE (1) INSTANCE, EXCEEDED THE SPOT MONTH SPECULATIVE POSITION LIMIT ESTABLISHED BY IFUS IN AN ENERGY FUTURES CONTRACT DURING CONTRACT EXPIRATION, IN ALLEGED VIOLATION OF IFUS RULE 6.20(B).
11-24-2014
Consent
N
Y
CivilAdminPenaltyFine
20000.00
20000.00
11-26-2014
20000.00
9-E2
Financial Industry Regulatory Authority, Inc.
2011030683301
15200 Omega Drive
3rd Floor
Rockville
MD
20850-3241
Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 10, 2014, and on December 18, 2014, the Firm submitted a wire in payment of a fine in the amount of $5,000,000.
12-10-2014
Financial Industry Regulatory Authority, Inc.
Censure
CivilAdminPenaltyFine
Other
Initial Public Offering
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement alleged that in connection with efforts by Goldman, Sachs & Co. (the "Firm") and other broker-dealers to participate in a company's planned initial public offering (IPO), the Firm: (a) allowed a research analyst to participate in the solicitation of certain investment banking business; (b) offered favorable research coverage to induce the receipt of investment banking business; and (c) failed to adopt and implement policies and procedures reasonably designed to prevent violations of Rule NASD Rule 2711, in alleged violation of NASD Rules 2711(c)(4), 2711(e), and 2711(i), respectively, and each in alleged violation of FINRA Rule 2010.
12-10-2014
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
5000000.00
5000000.00
12-18-2014
5000000.00
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1739197
1
9-E2
Financial Industry Regulatory Authority, Inc.
2012031743301
9509 Key West Avenue
Rockville
MD
20850
Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, the Firm submitted a wire in payment of a fine in the amount of $18,750.
12-23-2014
Financial Industry Regulatory Authority, Inc.
Censure
CivilAdminPenaltyFine
No Product
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman, Sachs & Co. (the "Firm") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008).
12-23-2014
Acceptance Waiver & Consent (AWC)
N
Y
Censure
CivilAdminPenaltyFine
18750.00
18750.00
01-09-2015
18750.00
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Financial Industry Regulatory Authority, Inc.
2012031743301
9509 Key West Avenue
Rockville
MD
20850
Without admitting or denying the allegations or findings, GSEC consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, GSEC submitted a wire in payment of a fine in the amount of $18,750.
12-23-2014
Financial Industry Regulatory Authority, Inc.
Censure
CivilAdminPenaltyFine
No Product
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman Sachs Execution & Clearing, LP. ("GSEC") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008).
12-23-2014
Acceptance Waiver & Consent (AWC)
N
Y
Censure
CivilAdminPenaltyFine
18750.00
18750.00
01-09-2015
18750.00
9-C2
9-C4
9-C5
U.S. SECURITIES AND EXCHANGE COMMISSION
3-16665
100 F STREET, NE
WASHINGTON
DC
20549
WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 30, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER; (II) IS CENSURED; AND (III) PAID A TOTAL CIVIL MONEY PENALTY OF $7 MILLION ON JUNE 30, 2015.
06-30-2015
U.S. SECURITIES AND EXCHANGE COMMISSION
Cease and Desist
Censure
CivilAdminPenaltyFine
Options
THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") DID NOT HAVE A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL, REGULATORY, AND OTHER RISKS OF MARKET ACCESS IN RELATION TO ITS LISTED EQUITY OPTIONS BUSINESS, WHICH CONTRIBUTED TO THE ENTRY OF ERRONEOUS ELECTRONIC OPTIONS ORDERS ON MULTIPLE OPTIONS EXCHANGES ON AUGUST 20, 2013. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER IN RELATION TO ITS CONTROLS AND SUPERVISORY PROCEDURES ADDRESSING (I) THE ENTRY OF ORDERS THAT EXCEED APPROPRIATE PRE-SET CREDIT OR CAPITAL THRESHOLDS; (II) THE ENTRY OF ERRONEOUS ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS; AND (III) THE MANAGEMENT OF SOFTWARE CHANGES THAT IMPACT ORDER FLOW.
06-30-2015
Order
N
Y
Cease and Desist
Censure
CivilAdminPenaltyFine
7000000.00
7000000.00
06-30-2015
7000000.00
9-C2
9-C4
9-C5
U.S. SECURITIES AND EXCHANGE COMMISSION
3-16619
100 F STREET, NE
WASHINGTON
DC
20549
WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 18, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933; (II) PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 ON JUNE 25, 2015; AND (III) SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER.
06-18-2015
U.S. SECURITIES AND EXCHANGE COMMISSION
Cease and Desist
CivilAdminPenaltyFine
Undertaking
Debt - Municipal
THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND, AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN THE FIRM OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. THE VIOLATIONS DISCUSSED IN THE ORDER WERE SELF-REPORTED BY THE FIRM TO THE SEC PURSUANT TO THE DIVISION OF ENFORCEMENT'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE.
06-18-2015
Order
Y
Y
Cease and Desist
CivilAdminPenaltyFine
Undertaking
Other
THE ORDER ALSO REQUIRES THE FIRM TO RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF THE FIRM'S POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE AND REQUIRES THE FIRM TO ADOPT THE INDEPENDENT CONSULTANT'S RECOMMENDATIONS (UNLESS THE SEC FINDS A RECOMMENDATION UNDULY BURDENSOME, IMPRACTICAL, OR INAPPROPRIATE, IN WHICH CASE THE FIRM SHALL NOT BE REQUIRED TO ABIDE BY, ADOPT, OR IMPLEMENT THAT RECOMMENDATION).
500000.00
500000.00
06-25-2015
500000.00
9-E2
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
2013037909601
9509 KEY WEST AVENUE
ROCKVILLE
MD
20850
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS, THE FIRM CONSENTED TO A CENSURE, FINE AND UNDERTAKING AND ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WHICH WAS ACCEPTED BY FINRA ON JUNE 3, 2015, AND ON JULY 9, 2015, THE FIRM SUBMITTED A WIRE IN PAYMENT OF THE FINE IN THE AMOUNT OF $185,000. IN THE UNDERTAKING, THE FIRM CONSENTED TO PROVIDE THREE REPORTS, WRITTEN AND ORAL, TO FINRA ON DATES THAT ARE NO MORE THAN 3 MONTHS, 6 MONTHS, AND 12 MONTHS AFTER THE DATE OF THE NOTICE OF ACCEPTANCE OF THE AWC, REGARDING THE EFFECTIVENESS OF THE FIRM'S WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE.
06-03-2015
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Censure
CivilAdminPenaltyFine
Undertaking
Debt - Corporate
AGENCY DEBT AND SECURITIZED PRODUCTS
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. ("FINRA") DEPARTMENT OF MARKET REGULATION ALLEGED THAT: (I) GOLDMAN, SACHS & CO. ("GSCO") FAILED TO TIMELY REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE"), CERTAIN TRANSACTIONS IN (A) TRACE-ELIGIBLE CORPORATE DEBT SECURITIES, DURING THE PERIOD OF APRIL 1, 2013 THROUGH JUNE 30, 2013 IN ALLEGED VIOLATION OF FINRA RULES 6730(A) AND 2010; AND (B) SECURITIZED PRODUCTS AND AGENCY DEBT SECURITIES, DURING THE PERIOD OF JANUARY 1, 2014 THROUGH MARCH 31, 2014, EACH IN ALLEGED VIOLATION OF FINRA RULE 6730(A), AND WITH REGARD TO THE TRACE-ELIGIBLE SECURITIZED PRODUCTS, IN ALLEGED VIOLATION OF FINRA RULE 2010; AND (II) GSCO'S WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE, IN ALLEGED VIOLATION OF FINRA RULE 2010 AND NASD RULE 3010.
06-03-2015
Acceptance Waiver & Consent (AWC)
N
Y
Censure
CivilAdminPenaltyFine
Undertaking
185000.00
185000.00
07-09-2015
185000.00
1
9-D2
Goldman Sachs Saudi Arabia
N
Capital Market Authority of the Kingdom of Saudi Arabia
161/4/2015
CMA Head Office - King Fahad Road
Riyadh
T0
11642
GSSA agreed to the payment of a financial penalty to the CMA in the amount of 10,000 Saudi Arabian Riyals (SAR), which was paid by submission of a wire on July 5, 2015. While the actual payment was made in Saudi Arabian Riyals, using the foreign exchange spot rate of SAR1:USD0.2666347 as of July 6, 2015, the equivalent U.S. Dollar value on July 5, 2015 was US$2,666.35, which amount is reflected in Item 12.B. above. The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard.
06-17-2015
Capital Market Authority of the Kingdom of Saudi Arabia
CivilAdminPenaltyFine
No Product
In a letter dated June 17, 2015 to Goldman Sachs Saudi Arabia ("GSSA") from the Kingdom of Saudi Arabia Capital Market Authority (the "CMA"), the CMA informed GSSA of a CMA decision alleging that GSSA was late in notifying the CMA of the resignation of GSSA's chief executive officer, in alleged violation of Article 15 Paragraph A of the CMA Licensees Regulations.
06-17-2015
Decision
N
Y
CivilAdminPenaltyFine
Other
The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard.
2666.35
2666.35
07-05-2015
2666.35
9-E2
Chicago Board Options Exchange, Incorporated
15-0005 / 20150442706
400 South LaSalle Street
Chicago
IL
60605
Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $15,000.
02-26-2015
Chicago Board Options Exchange, Incorporated
Censure
CivilAdminPenaltyFine
No Product
Chicago Board Options Exchange, Incorporated ("CBOE") Business Conduct Committee (the "Committee") alleged that Goldman, Sachs & Co. (the "Firm") failed to appropriately register with the CBOE: (i) on various dates between on or about November 5, 2011 through on or about October 10, 2014, five (5) Associated Persons as a Proprietary Trader (PT), and (ii) by November 5, 2011, its Chief Compliance Officer as a Proprietary Trader Compliance Officer (CT), each in alleged violation of CBOE Rule 3.6A.
07-16-2015
Consent
Y
Censure
CivilAdminPenaltyFine
15000.00
15000.00
07-30-2015
15000.00
9-E2
C2 Options Exchange, Incorporated
C2 15-0001 / 20150442481
400 South LaSalle Street
Chicago
IL
60605
Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $2,500.
02-26-2015
C2 Options Exchange, Incorporated
Censure
CivilAdminPenaltyFine
No Product
C2 Options Exchange, Incorporated ("C2") Business Conduct Committee (the "Committee") alleged that, from on or about March 27, 2013 through on or about July 11, 2014, Goldman, Sachs & Co. (the "Firm") failed to appropriately register its Financial and Operations Principal as a Financial and Operations Principal (FN) with C2, in alleged violation of C2 Rule 3.4.
07-16-2015
Consent
Y
Censure
CivilAdminPenaltyFine
2500.00
2500.00
07-30-2015
2500.00
1
9-E2
Goldman Sachs International
N
ICE Clear Credit LLC
2015-404b-021
353 N. Clark Street
Suite 3100
Chicago
IL
60654
ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice.
07-08-2015
ICE Clear Credit LLC
CivilAdminPenaltyFine
Derivative(s)
ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to submit certain single name end of day prices and certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).
07-14-2015
Consent
Y
CivilAdminPenaltyFine
127000.00
127000.00
ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice.
127000.00
9-E2
ICE Clear Credit LLC
2015-404b-020
353 N. Clark Street
Suite 3100
Chicago
IL
60654
ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice.
07-08-2015
ICE Clear Credit LLC
CivilAdminPenaltyFine
Derivative(s)
ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman, Sachs & Co. (the "Firm") failed to submit certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).
07-14-2015
Consent
Y
CivilAdminPenaltyFine
19000.00
19000.00
ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice.
19000.00
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Commodity Exchange
COMEX 14-9777-BC
One North End Avenue
New York
NY
10282
Without admitting or denying the rule violations, allegations or findings, GSEC submitted a settlement offer to the Panel. On July 16, 2015, the Panel accepted the settlement offer and issued a decision effective on July 20, 2015. On July 27, 2015, GSEC submitted a wire in payment of the fine in the amount of $110,000.
07-20-2015
Commodity Exchange
CivilAdminPenaltyFine
Futures - Commodity
Options
A panel of the Commodity Exchange ("COMEX") Business Conduct Committee (the "Panel") accepted a negotiated settlement offer made by Goldman Sachs Execution & Clearing, L.P. ("GSEC") which concerned allegations that two GSEC customers with different beneficial ownership requested that GSEC process the purchase and sale of their gold futures and options book, and that on February 27, 2013, GSEC processed their transaction as a transfer of the relevant futures and options contracts between their accounts at GSEC without obtaining the approval of COMEX, in alleged violation of COMEX Rule 853.A.
07-20-2015
Consent
Y
CivilAdminPenaltyFine
110000.00
110000.00
07-27-2015
110000.00
1
9-D2
Goldman Sachs International
N
Government Debt Management Agency Private Company Limited by Shares
None
H-1027 Budapest
Csalogany utca
K5
9-11
The AKK imposed a fine on GSI in the amount of HUF$500,000, which was paid by submission of a wire on August 13, 2015. While the actual payment was made in Hungarian Forints, using the foreign exchange spot rate of HUF$0.0035898:USD$1 as of August 13, 2015, the equivalent U.S. Dollar value on August 13, 2015 was USD$1794.90, which amount is reflected in Item 12.B. above.
07-20-2015
Government Debt Management Agency Private Company Limited by Shares
CivilAdminPenaltyFine
Debt - Government
Government Debt Management Agency Private Company Limited by Shares ("AKK") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to meet primary dealer quoting obligations in accordance with the Agency Contract between GSI and AKK and the relevant market making rules.
07-20-2015
Decision
Y
CivilAdminPenaltyFine
1794.90
1794.90
08-13-2015
1794.90
1
9-D2
Goldman Sachs do Brasil Banco Multiplo S.A.
N
ANBIMA - Brazilian Financial and Capital Markets Association
005/2015
Av. das Nacoes Unidas, 8501
21st Floor
Sao Paulo - SP
D5
05425-070
Without admitting or denying the rule violation, ANBIMA and GSBR entered into a settlement agreement on July 22, 2015, in which GSBR agreed to: (i) ensure full compliance with all provisions of the ANBIMA's Code of Funds, specifically with respect to matters relating to the PAI; (ii) adopt additional internal controls relating to governance and management of the Fund and conduct related training with submission to ANBIMA of a list of attendees of the training once completed; (iii) refrain from preparation of any material for distribution, solicitation, advertisement or any other material intended to solicit new shareholders for the Fund; and (iv) refrain from using the Fund's performance track record in the marketing material of any other fund managed by GSBR for a period of twelve (12) months. In addition, GSBR agreed to make a financial payment to ANBIMA in the amount of five hundred thousand Reais (BRL$500,000.00), which amount was paid by GSBR on August 3, 2015. While the actual payment was made in Brazilian Reais, using the most recently published Federal Reserve foreign exchange rate of BRL$3.4487:USD$1 as of August 3, 2015, the equivalent U.S. Dollar value on August 3, 2015 was USD$144,982.17, which amount is reflected in Item 12.B. above.
07-22-2015
ANBIMA - Brazilian Financial and Capital Markets Association
CivilAdminPenaltyFine
Undertaking
No Product
Brazilian Financial and Capital Markets Association ("ANBIMA") filed a Proceeding for Investigation of Irregularities ("PAI") to investigate whether Goldman Sachs do Brasil Banco Multiplo S.A. ("GSBR") may have violated Article 27, Paragraph 3, V of the ANBIMA Code of Regulation and Best Practices to Investment Funds (Codigo ANBIMA de Regulacao e Melhores Praticas para Fundos de Investimento, "ANBIMA's Code of Funds") in connection with GSBR's tax treatment of payments of interest on capital in connection with stock lending trades involving a Brazilian investment fund managed by GSBR (the "Fund").
07-22-2015
Settled
Y
CivilAdminPenaltyFine
Undertaking
144982.17
144982.17
08-03-2015
144982.17
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Financial Industry Regulatory Authority, Inc.
2013037867101
1735 K Street
Washington
DC
20006
Without admitting or denying the allegations or findings, GSEC consented to a censure, a fine, and an undertaking requiring GSEC to address the OATS and TRF reporting deficiencies described above to ensure that GSEC has implemented procedures that are reasonably designed to achieve compliance with the rules and regulations cited, and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on July 24, 2015, and on August 12, 2015, GSEC submitted a wire in payment of the fine in the amount of $1,800,000.
07-24-2015
Financial Industry Regulatory Authority, Inc.
Censure
CivilAdminPenaltyFine
Undertaking
Other
Unspecified Securities
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that: (A) Goldman Sachs Execution & Clearing, L.P. ("GSEC") (i) between July 14, 2006 and July 30, 2013, failed to transmit to the Order Audit Trail System ("OATS") certain Reportable Order Events ("ROEs") under GSEC's "SGMA" Market Participant Identifier ("MPID") for its Alternative Trading System ("ATS"), in alleged violation of NASD Rule 6955 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7450 (for conduct that occurred on and after December 15, 2008); (ii) between July 14, 2006 and March 9, 2015, transmitted to OATS certain inaccurate and/or incomplete required ROE data elements, in alleged violation of NASD Rule 6954 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7440 (for conduct that occurred on and after December 15, 2008); (iii) between April 7, 2014 and February 13, 2015, transmitted to OATS certain ROEs under GSEC's SGMA MPID that failed to report order event timestamps in milliseconds when GSEC's ATS captured time in milliseconds, in alleged violation of FINRA Rule 7450; (iv) between November 10, 2014 and February 13, 2015, submitted certain trade reports to the FINRA/NYSE Trade Reporting Facility ("TRF") under the SGMA MPID that failed to report execution timestamps in milliseconds, in alleged violation of FINRA Rule 6380B(c)(5); (v) during all the above-referenced review periods, failed to have adequate supervisory procedures reasonably designed to achieve compliance with NASD Rules 6954 and 6955 and FINRA Rules 7440, 7450 and 6380B(c)(5) in connection with the deficiencies described; and (B) the conduct described above constituted violations of NASD Rule 3010 (for conduct that occurred prior to December 1, 2014), FINRA Rule 3110 (for conduct that occurred on and after December 1, 2014), NASD Rule 2110 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 2010 (for conduct that occurred on and after December 15, 2008).
07-24-2015
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
Undertaking
1800000.00
1800000.00
08-12-2015
1800000.00
1
9-D2
Goldman Sachs International
N
Goldman, Sachs & Co.
361
1818621
1
9-E2
J. Aron & Company
N
Goldman, Sachs & Co.
361
1818622
9-E2
ICE Clear Credit LLC
2015-404b-039
353 N. Clark Street
Suite 3100
Chicago
IL
60654
ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice.
10-06-2015
ICE Clear Credit LLC
CivilAdminPenaltyFine
Derivative(s)
ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman, Sachs & Co. (the "Firm") failed to submit one (1) index end of day price in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).
10-19-2015
Consent
Y
CivilAdminPenaltyFine
1000.00
1000.00
ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice.
1000.00
1
9-E2
Goldman Sachs International
N
ICE Clear Credit LLC
2015-404b-038
353 N. Clark Street
Suite 3100
Chicago,
IL
60654
ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice.
10-06-2015
ICE Clear Credit LLC
CivilAdminPenaltyFine
Derivative(s)
ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman Sachs International ("GSI") failed to submit seven (7) index end of day prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).
10-19-2015
Consent
Y
CivilAdminPenaltyFine
7000.00
7000.00
ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice.
7000.00
1
9-D2
9-D4
9-D5
Goldman, Sachs & Co.
361
1846017
The Goldman Sachs Group, Inc.
N
Goldman, Sachs & Co.
361
1846017
1
9-D2
The Goldman Sachs Group, Inc.
N
Goldman, Sachs & Co.
361
1856467
1
9-D2
Goldman Sachs International
N
Goldman, Sachs & Co.
361
1818621
9-E2
Goldman, Sachs & Co.
361
1859639
9-C2
9-C4
9-C5
Goldman, Sachs & Co.
361
1862186
1
9-D2
Goldman Sachs (Asia) L.L.C.
N
Goldman, Sachs & Co.
361
1868848
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1873218
9-E2
ICE Futures U.S., Inc.
2015-106
55 E 52nd St.
New York
NY
10055
The Summary Fine, in the amount of $2,000, was paid by submission of a wire on March 31, 2016.
03-17-2016
ICE Futures U.S., Inc.
CivilAdminPenaltyFine
No Product
ICE Futures U.S., Inc. ("IFUS") Market Regulation Department issued a Summary Fine, dated March 17, 2016, to Goldman, Sachs & Co. (the "Firm"), stating that the Firm may have violated IFUS Rule 6.10 by failing to ensure that the proper Customer Type Indicator (CTI) code was affixed to certain orders entered between May and August 2015.
03-17-2016
Decision
Y
CivilAdminPenaltyFine
2000.00
2000.00
03-31-2016
2000.00
9-E2
Goldman, Sachs & Co.
361
1875181
9-E2
Goldman, Sachs & Co.
361
1875601
9-E2
Goldman, Sachs & Co.
361
1882468
1
9-D2
Goldman Sachs Saudi Arabia
N
Goldman, Sachs & Co.
361
1886053
9-E2
Goldman, Sachs & Co.
361
1891791
1
9-D4
9-D5
Goldman, Sachs & Co.
361
1897440
The Goldman Sachs Group, Inc.
N
Goldman, Sachs & Co.
361
1897440
1
9-D2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1901548
1
9-E2
Goldman Sachs Asset Management, L.P.
Y
801-37591
Goldman, Sachs & Co.
361
1907118
9-C2
9-C4
9-C5
Goldman, Sachs & Co.
361
1915199
1
9-E2
Goldman Sachs Execution & Clearing, L.P.
Y
008-00526
Goldman Sachs Execution & Clearing, L.P.
3466
1922714
9-D2
Goldman, Sachs & Co.
361
1929672
1
9-G
Goldman Sachs International
N
Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin")
GZ: WA 17-Wp 3120-2016/0060
Marie-Curie-Str. 24-28
Frankfurt
2M
60439
GSI is reviewing, and provided a written response to BaFin on May 30, 2017.
05-02-2017
Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin")
CivilAdminPenaltyFine
Equity Listed (Common & Preferred Stock)
BaFin has alleged certain breaches by Goldman Sachs International ("GSI") in May 2016 of sections 21(1) and 25(1) of the German Securities TRading Act (Wertpapierhandelsgesetz - "WpHG") as a result of GSI's late submission of a shareholder voting rights notification.
05-02-2017
1
9-D4
Goldman Sachs (India) Securities Private Limited
N
Goldman Sachs & Co. LLC
361
1941617
9-E2
Goldman Sachs & Co. LLC
361
1941756
9-E2
Goldman Sachs & Co. LLC
361
1946884
9-E2
Goldman Sachs & Co. LLC
361
1946885
1
9-G
Goldman Sachs International
N
Goldman Sachs & Co. LLC
361
1954930
9-E2
Goldman Sachs & Co. LLC
361
1956889
9-E2
Goldman Sachs & Co. LLC
361
1962381
9-E2
Goldman Sachs & Co. LLC
361
1961063
1
9-D4
Goldman Sachs Bank USA
N
Goldman Sachs & Co. LLC
361
1967939
2
9-D4
Goldman Sachs Bank USA
N
Goldman Sachs & Co. LLC
361
1967938
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
1967938
9-E2
Goldman Sachs & Co. LLC
361
1976967
9-E2
Goldman Sachs & Co. LLC
361
1978013
1
9-D4
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
1980138
2
9-D2
9-D4
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
1980140
Goldman Sachs Bank USA
N
Goldman Sachs & Co. LLC
361
1980140
1
9-D2
9-D4
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
1966983
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
Goldman Sachs & Co. LLC
361
2007759
9-E2
NA
20140406430
NA
NA
NA
XX
NA
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement on behalf of NYSE Regulation alleged that Goldman Sachs Execution and Clearing L.P. ("GSEC"), a former affiliate of Goldman Sachs & Co. LLC (the "Firm") failed to establish and maintain a supervisory system reasonably designed to ensure compliance with Section 15(c)(3) of the Securities and Exchange Act of 1934 and Rule 15c3-5 thereunder in alleged violation of NYSE Arca Equities Rule 6.18.
On June 12, 2017, GSEC and the Firm consummated a merger of GSEC with and into the Firm (the "Merger"), with the Firm surviving the Merger and assuming any remaining GSEC assets, liabilities and operations. On June 13, 2017, GSEC filed a Uniform Request Withdrawal from Broker-Dealer Registration (Form BDW) with the Securities and Exchange Commission, which became effective on August 11, 2017.
03-04-2019
NYSE Arca, Inc.
CivilAdminPenaltyFine
No Product
Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement on behalf of NYSE Regulation alleged that Goldman Sachs Execution and Clearing L.P. ("GSEC"), a former affiliate of Goldman Sachs & Co. LLC (the "Firm") failed to establish and maintain a supervisory system reasonably designed to ensure compliance with Section 15(c)(3) of the Securities and Exchange Act of 1934 and Rule 15c3-5 thereunder in alleged violation of NYSE Arca Equities Rule 6.18.
On June 12, 2017, GSEC and the Firm consummated a merger of GSEC with and into the Firm (the "Merger"), with the Firm surviving the Merger and assuming any remaining GSEC assets, liabilities and operations. On June 13, 2017, GSEC filed a Uniform Request Withdrawal from Broker-Dealer Registration (Form BDW) with the Securities and Exchange Commission, which became effective on August 11, 2017.
03-04-2019
Consent
Y
CivilAdminPenaltyFine
3500.00
3500.00
03-19-2019
3500.00
1
9-D2
GOLDMAN SACHS INDIA INVESTMENTS (SINGAPORE) PTE. LTD.
N
GOLDMAN SACHS & CO. LLC
361
2024336
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2029275
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2029276
9-D2
GOLDMAN SACHS & CO. LLC
361
2034829
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
NA
NA
NA
NA
NA
K5
NA
AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG ALLEGED THAT DURING THE FIRST HALF OF THE CALENDAR YEAR 2019, GOLDMAN SACHS INTERNATIONAL (GSI) FAILED TO MEET
ITS PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES. THE AKK IMPOSED A FINE ON GSI IN THE AMOUNT OF HUF 500,000, WHICH WAS PAID BY SUBMISSION OF A WIRE ON AUGUST 1, 2019. WHILE THE ACTUAL PAYMENT WAS MADE IN HUNGARIAN FORINTS, USING THE FOREIGN EXCHANGE SPOT RATE OF I USD = HUF 292.31 AS OF AUGUST 1, 2019, THE EQUIVALENT U.S. DOLLAR VALUE ON AUGUST 1, 2019 WAS USD 1710.50.
07-02-2019
AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG
CivilAdminPenaltyFine
Debt - Government
AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG ALLEGED THAT DURING THE FIRST HALF OF THE CALENDAR YEAR 2019, GOLDMAN SACHS INTERNATIONAL (GSI) FAILED TO MEET
ITS PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES.
08-01-2019
Decision
N
N
1
9-D2
GOLDMAN SACHS GROUP, INC.
N
GOLDMAN SACHS & CO. LLC
361
2050401
9-E2
GOLDMAN SACHS & CO. LLC
361
2056875
9-C2
9-C4
9-C5
GOLDMAN SACHS & CO. LLC
361
2054562
9-E2
Goldman Sachs & Co. LLC
361
2056781
9-E2
GOLDMAN SACHS & CO. LLC
361
2073063
9-E2
ICE FUTURES U.S.
2019-033
353 NORTH CLARK STREET
SUITE 3100
CHICAGO
IL
60654
THE FINE IMPOSED BY IFUS WAS IN THE AMOUNT OF $10,000, WHICH WAS PAID IN FULL BY GSCO BY WIRE ON MAY 28, 2020.
05-08-2020
ICE FUTURES U.S.
CivilAdminPenaltyFine
Futures - Commodity
ON MAY 8, 2020, THE ICE FUTURES U.S. ("IFUS" OR "EXCHANGE") MARKET REGULATION DEPARTMENT NOTIFIED GOLDMAN SACHS & CO. LLC ("GSCO") THAT IT WAS ISSUED A SUMMARY FINE IN THE AMOUNT OF $10,000 PURSUANT TO IFUS RULE 21.02. THE EXCHANGE ALLEGES THAT IN SEVEN INSTANCES, GSCO APPEARED TO HAVE BEEN IN VIOLATION OF IFUS RULE 6.15(A) WHEN IT FAILED TO ACCURATELY SUBMIT REPORTABLE POSITIONS TO THE EXCHANGE.
05-28-2020
Consent
N
1
9-E2
FOLIO INVESTMENTS, INC.
Y
008-52009
GOLDMAN SACHS & CO. LLC
361
2093142
1
9-D2
9-D4
Goldman Sachs International
N
Goldman Sachs & Co. LLC
361
2094895
1
9-D2
9-D4
Goldman Sachs International
N
Goldman Sachs & Co. LLC
361
2094896
1
9-D2
9-D4
Goldman Sachs (Singapore) Pte
N
Goldman Sachs & Co. LLC
361
2094897
1
9-D4
Goldman Sachs (Singapore) Pte
N
Goldman Sachs & Co. LLC
361
2094898
1
9-D2
9-D4
Goldman Sachs (Asia) L.L.C.
N
Goldman Sachs & Co. LLC
361
2094899
1
9-D2
9-D4
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
2094892
1
9-D2
9-D4
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
2094893
1
9-C2
9-C4
9-C5
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
2094894
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
BLOOMBERG SEF LLC
None
731 LEXINGTON AVENUE
NEW YORK
NY
10022
THE FINE IMPOSED BY BSEF WAS IN THE AMOUNT OF $1,250, WHICH WAS PAID IN FULL BY GSI BY WIRE ON DECEMBER 21, 2020.
11-11-2020
BLOOMBERG SEF LLC
CivilAdminPenaltyFine
Swap
ON NOVEMBER 11, 2020, BLOOMBERG SEF LLC ("BSEF") NOTIFIED GOLDMAN SACHS INTERNATIONAL ("GSI") THAT IT HAD COMPLETED ITS INQUIRY AND CONCLUDED THAT GSI VIOLATED BSEF RULE 531.A(D) BY SUBMITTING BLOCK TRADES TO BSEF MORE THAN 10 MINUTES AFTER THE TIME THE PARTICIPANTS AGREED TO THE TERMS OF THE BLOCK TRADES. AS THIS WAS GSI'S SECOND SUCH VIOLATION WITHIN A 12-MONTH PERIOD, BSEF IMPOSED A FINE OF $1,250.
12-21-2020
Decision
N
9-E2
GOLDMAN SACHS & CO. LLC
361
2107437
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2111044
9-G
GOLDMAN SACHS & CO. LLC
361
2125303
1
9-G
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2125302
9-E2
CME GROUP INC.
21-0605
20 SOUTH WACKER DRIVE
CHICAGO
IL
60606
CME IMPOSED A FINE IN THE AMOUNT OF $2,500, WHICH GSCO PAID BY SUBMISSION OF A WIRE ON MAY 20, 2021.
04-26-2021
CME GROUP INC.
CivilAdminPenaltyFine
No Product
ON MAY 19, 2021, THE MARKET REGULATION DEPARTMENT OF THE CME GROUP INC. ("CME") DETERMINED THAT GOLDMAN SACHS & CO. LLC ("GSCO") TRADE DATA REVIEWED DURING ITS AUDIT OF TRADE DATES DECEMBER 2, 2020 THROUGH JANUARY 29, 2021 REFLECTED A COMPUTERIZED TRADE RECONSTRUCTION ERROR RATE IN EXCESS OF THE APPLICABLE 10% THRESHOLD LEVELS, SET FORTH IN CME RULE 536.F.
05-20-2021
Decision
Y
CivilAdminPenaltyFine
2500.00
2500.00
05-20-2021
2500.00
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2140491
1
9-D2
GOLDMAN SACHS & CO. LLC
361
2118900
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2118900
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2122304
1
9-D2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2130312
9-E2
GOLDMAN SACHS & CO. LLC
361
2132435
9-E2
GOLDMAN SACHS & CO. LLC
361
2136751
2
9-G
GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A.
N
GOLDMAN SACHS & CO. LLC
361
2136752
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS INTERNATIONAL
361
2136752
9-E2
CME GROUP INC.
RSRH-21-6265
20 SOUTH WACKER DRIVE
CHICAGO
IL
60606
CME IMPOSED A FINE IN THE AMOUNT OF $1,500, WHICH GSCO PAID BY SUBMISSION OF A WIRE ON JULY 28, 2021.
07-14-2021
CME GROUP INC.
CivilAdminPenaltyFine
Futures - Commodity
ON JULY 14, 2021, THE MARKET REGULATION DEPARTMENT OF THE CME GROUP INC. ("CME") DETERMINED THAT GOLDMAN SACHS & CO. LLC ("GSCO") VIOLATED CME RULE 561 FOR LATE ADJUSTMENTS TO LARGE TRADER REPORTING OF LISTED FUTURES POSITIONS IN JUNE 2021.
07-28-2021
Decision
N
9-E2
CME GROUP INC.
RSRH-21-6304
20 SOUTH WACKER DRIVE
CHICAGO
IL
60606
CME IMPOSED A FINE IN THE AMOUNT OF $2,500, WHICH GSCO PAID BY SUBMISSION OF A WIRE ON AUGUST 20, 2021.
08-10-2021
CME GROUP INC.
CivilAdminPenaltyFine
Futures - Commodity
IN A NOTICE DATED AUGUST 10, 2021, THE MARKET REGULATION DEPARTMENT OF THE CME GROUP INC. ("CME") IDENTIFIED A REPORTING INFRACTION RELATED TO A REDUCTION OF OPEN INTEREST OF A FUTURES POSITION BY GOLDMAN SACHS & CO. LLC ("GSCO") IN VIOLATION OF RULE 854, CONCURRENT LONG AND SHORT POSITIONS.
08-20-2021
Decision
N
1
9-D2
GOLDMAN SACHS (SINGAPORE) PTE.
N
GOLDMAN SACHS & CO. LLC
361
2160488
1
9-D2
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED
N
GOLDMAN SACHS & CO. LLC
361
2160487
1
9-D2
9-D4
GOLDMAN SACHS BANK EUROPE SE
N
GOLDMAN SACHS & CO. LLC
361
2160486
9-E2
CME GROUP INC.
RSRH-21-6403
20 SOUTH WACKER DR.
CHICAGO
IL
60606
CME IMPOSED A SUMMARY FINE IN THE AMOUNT OF $2,500, WHICH GSCO PAID BY SUBMISSION OF A WIRE ON NOVEMBER 23, 2021.
11-11-2021
CME GROUP INC.
CivilAdminPenaltyFine
Futures - Commodity
ON NOVEMBER 11, 2021, THE MARKET REGULATION DEPARTMENT OF THE CME GROUP INC. ("CME") DETERMINED THAT GOLDMAN SACHS & CO. LLC ("GSCO") VIOLATED CME RULE 561 FOR LATE ADJUSTMENTS TO LARGE TRADER REPORTING OF CERTAIN LISTED FUTURES AND OPTIONS POSITIONS ON SIX TRADE DATES IN POSITIONS IN OCTOBER 2021.
11-23-2021
Decision
N
1
9-D1
9-D2
9-D4
GREENSKY, LLC
N
CONSUMER FINANCIAL PROTECTION BUREAU
2021-CFPB-0004
1700 G STREET NW
WASHINGTON D.C.
DC
20552
WITHOUT ADMITTING OR DENYING ANY OF THE FINDINGS OF FACT OR CONCLUSIONS, GREENSKY AGREED TO THE ISSUANCE OF THE CONSENT ORDER WHICH WILL TERMINATE FIVE YEARS AFTER THE EFFECTIVE DATE OF JULY 12, 2021, BARRING ANY FURTHER VIOLATIONS. GREENSKY IS TO PAY REDRESS TO CONSUMERS IDENTIFIED BY THE CONSENT ORDER AS BEING IMPACTED BY THE VIOLATIONS IN A TOTAL AMOUNT TO NOT BE LESS THAN $750,000 AND TO NOT EXCEED $3,000,000, AND LOAN CANCELLATIONS IN AN AMOUNT NO MORE THAN $6,000,000. IN ADDITION, A CIVIL PENALTY OF $2,5000,000 WAS ORDERED TO BE PAID TO THE CFPB. GREENSKY WAS ORDERED TO IMPLEMENT ADDITIONAL COMPLIANCE MEASURES TO PREVENT FURTHER VIOLATIONS INCLUDING THE ESTABLISHMENT OF A COMPLIANCE COMMITTEE TO BE RESPONSIBLE FOR MONITORING AND COORDINATING GREENSKY'S ADHERENCE TO THE PROVISIONS OF THE CONSENT ORDER FOR THE EFFECTIVE TIME PERIOD.
07-12-2021
GOLDMAN SACHS & CO. LLC BECAME AN AFFILIATE OF GREENSKY, LLC ON MARCH 29, 2022.
CONSUMER FINANCIAL PROTECTION BUREAU
CivilAdminPenaltyFine
Other
LOANS
ON JULY 12, 2021, THE CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") ENTERED A CONSENT ORDER AGAINST GREENSKY LLC ("GREENSKY") AFTER DETERMINING GREENSKY VIOLATED SECTIONS 1031(A) AND 1036(A)(1)(B) OF THE CONSUMER FINANCIAL PROTECTION ACT. FROM MARCH 2014 THROUGH JULY 2021, THE CFPB IDENTIFIED MULTIPLE INSTANCES OF GREENSKY ENGAGING IN UNFAIR ACTS AND PRACTICES WITH REGARD TO LOANS TO CONSUMERS WHO DID NOT AUTHORIZE THEM AND BY STRUCTURING ITS LOAN ORIGINATION AND SERVICING ACTIVITIES IN A MANNER THAT ENABLED UNAUTHORIZED LOANS.
07-12-2021
Order
Y
Y
Restitution
CivilAdminPenaltyFine
2500000.00
2500000.00
07-19-2021
2500000.00
9-E2
NATIONAL FUTURES ASSOCIATION
22-BCC-003
300 S. Riverside Plaza, #1800
CHICAGO
IL
60606
GOLDMAN SACHS & CO. LLC MADE AN OFFER TO SETTLE THE MATTER, WITHOUT ADMITTING OR DENYING LIABILITY, BY PAYING A FINE OF $2,500,000 TO NFA. ON MARCH 31, 2022, THE BCC ACCEPTED THE OFFER, AND ISSUED A DECISION (EFFECTIVE ON APRIL 15, 2022) ORDERING GOLDMAN SACHS & CO. LLC TO PAY A FINE IN THAT AMOUNT. AS PART OF A SIDE LETTER EXECUTED IN CONNECTION WITH THE OFFER, THE FIRM AND NFA ALSO AGREED TO ADDITIONAL TERMS AND CONDITIONS WITH REGARD TO A SEPARATE SET OF ISSUES SELF-DISCLOSED TO NFA.
03-31-2022
NATIONAL FUTURES ASSOCIATION
CivilAdminPenaltyFine
Undertaking
No Product
ON MARCH 31, 2022, IN CONJUNCTION WITH ACCEPTING GOLDMAN SACHS & CO. LLC'S OFFER TO SETTLE THE MATTER, THE NFA'S BUSINESS CONDUCT COMMITTEE ("BCC") ISSUED A COMPLAINT AGAINST THE FIRM ALLEGING VIOLATIONS OF NFA RULE 2-49(A), FOR FAILURE TO COMPLY WITH CERTAIN REQUIREMENTS UNDER CFTC REGULATION 23, AND NFA RULE 2-49(B), FOR FAILING TO PROMPTLY SUBMIT ACCURATE AND COMPLETE INFORMATION AS REQUIRED BY THE NFA.
04-15-2022
Decision
Y
CivilAdminPenaltyFine
Undertaking
2500000.00
2500000.00
THE EFFECTIVE DATE OF THE INVOICE IS APRIL 15, 2022 AND GOLDMAN SACHS & CO. LLC HAS UNTIL MAY 15, 2022 TO PAY THE AMOUNT IN FULL.
2500000.00
9-E2
GOLDMAN SACHS & CO. LLC
361
2198941
9-E2
GOLDMAN SACHS & CO. LLC
361
2198938
9-E2
GOLDMAN SACHS & CO. LLC
361
2198016
9-E2
GOLDMAN SACHS & CO. LLC
361
2198013
9-E2
GOLDMAN SACHS & CO. LLC
361
2197898
9-E2
GOLDMAN SACHS & CO. LLC
361
2197896
9-E2
GOLDMAN SACHS & CO. LLC
361
2197884
9-E2
GOLDMAN SACHS & CO. LLC
361
2197741
9-E2
GOLDMAN SACHS & CO. LLC
361
2196513
9-E2
GOLDMAN SACHS & CO. LLC
361
2196512
9-E2
GOLDMAN SACHS & CO. LLC
361
2196511
9-E2
GOLDMAN SACHS & CO. LLC
361
2196510
9-E2
GOLDMAN SACHS & CO. LLC
361
2193636
9-E2
GOLDMAN SACHS & CO. LLC
361
2193625
9-E2
GOLDMAN SACHS & CO. LLC
361
2193582
9-E2
GOLDMAN SACHS & CO. LLC
361
2266158
9-E2
GOLDMAN SACHS & CO. LLC
361
2203711
9-E2
GOLDMAN SACHS & CO. LLC
361
2265895
9-E2
GOLDMAN SACHS & CO. LLC
361
2265798
9-E2
GOLDMAN SACHS & CO. LLC
361
2266122
9-E2
GOLDMAN SACHS & CO. LLC
361
2203709
1
9-E2
J. ARON & COMPANY LLC
N
CME Center
19-1158-BC
20 South Wacker Drive
Chicago
IL
60606
PURSUANT TO AN OFFER OF SETTLEMENT, IN WHICH J. ARON NEITHER ADMITTED NOR DENIED THE RULE VIOLATIONS UPON WHICH THE PENALTY IS BASED, J. ARON AGREED TO PAY A FINE IN THE AMOUNT OF $125,000 AND TO DISGORGE PROFITS IN THE AMOUNT OF $10,825. THE FINE WAS PAID IN FULL BY SUBMISSION OF A WIRE ON JUNE 2, 2022.
05-17-2022
CME GROUP INC.
Disgorgement
CivilAdminPenaltyFine
Futures - Commodity
ON MAY 17, 2022, A PANEL OF THE COMMODITY EXCHANGE (COMEX) BUSINESS CONDUCT COMMITTEE FOUND THAT, ON SEVERAL OCCASIONS IN MAY 2020 AND JULY 2020, J. ARON & COMPANY LLC ("J. ARON"), PRIOR TO ENGAGING IN ANY PRE-HEDGING ACTIVITY, FAILED TO MAKE CLEAR TO ITS COUNTERPARTY THAT IT WAS TRADING PRINCIPALLY THEREBY VIOLATING COMEX RULE 526.
06-02-2022
Settled
N
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS & CO. LLC
361
2218688
9-C2
9-C5
GOLDMAN SACHS & CO. LLC
361
2235974
1
9-C2
9-C4
9-C5
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
N
107738
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
107738
2247412
1
9-D2
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.
N
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.
000000000
2247414
1
9-E2
J. ARON & COMPANY LLC
N
J. ARON & COMPANY LLC
000000000
2265065
9-G
GOLDMAN SACHS & CO. LLC
361
2265064
9-C2
9-C5
GOLDMAN SACHS & CO. LLC
361
2231236
9-C2
9-C5
GOLDMAN SACHS & CO. LLC
361
2231041
9-E2
GOLDMAN SACHS & CO. LLC
361
2223248
9-E2
GOLDMAN SACHS & CO. LLC
361
2197870
9-E2
GOLDMAN SACHS & CO. LLC
361
2207388
9-E2
GOLDMAN SACHS & CO. LLC
361
2267897
9-E2
GOLDMAN SACHS & CO. LLC
361
2267898
9-C2
9-C5
GOLDMAN SACHS & CO. LLC
361
2267296
9-E2
GOLDMAN SACHS & CO. LLC
361
2265799
9-E2
GOLDMAN SACHS & CO. LLC
361
2265795
9-E2
GOLDMAN SACHS & CO. LLC
361
2266160
9-E2
GOLDMAN SACHS & CO. LLC
361
2266156
9-E2
GOLDMAN SACHS & CO. LLC
361
2266149
9-E2
GOLDMAN SACHS & CO. LLC
361
2271395
9-E2
GOLDMAN SACHS & CO. LLC
361
2271394
1
9-D2
GOLDMAN SACHS BANK EUROPE SE
N
GOLDMAN SACHS BANK EUROPE SE
000000000
2277832
1
9-D2
GOLDMAN SACHS BANK EUROPE SE
N
GOLDMAN SACHS & CO. LLC
361
2283516
9-E2
GOLDMAN SACHS & CO. LLC
361
2284835
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
GOLDMAN SACHS INTERNATIONAL
361
2284836
9-E2
GOLDMAN SACHS & CO. LLC
361
2286621
9-E2
FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019063499505
DEPT. OF ENFORCEMENT
9509 KEY WEST AVENUE
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-06-2024
FINANCIAL INDUSTRY REGULATORY AUTHORITY
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-06-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
PAYMENT IN PROGRESS
37000.00
9-E2
GOLDMAN SACHS & CO. LLC
361
2291994
9-E2
GOLDMAN SACHS & CO. LLC
361
2289604
9-E2
GOLDMAN SACHS & CO. LLC
361
2289937
9-C2
9-C5
GOLDMAN SACHS & CO. LLC
361
2293175
1
9-D2
GOLDMAN SACHS (SINGAPORE) PTE.
N
SECURITIES AND EXCHANGE BOARD OF INDIA
SO/AB/EFD2/2022-23/7083
SEBI Bhavan Plot no. C4-A
G Block Bandra Kurla Complex
Bandra (East), Mumbai
K7
400 051
WITHOUT ADMITTING OR DENYING FAULT, GSSP AGREED TO A SETTLEMENT AMOUNT OF RUPEES 26,44,500 (APPROXIMATELY USD 31,771.05), WHICH WAS PAID ON AUGUST 23, 2023.
09-18-2023
SECURITIES AND EXCHANGE BOARD OF INDIA
CivilAdminPenaltyFine
Derivative(s)
GOLDMAN SACHS (SINGAPORE) PTE. ("GSSP") SUBMITTED A SETTLEMENT PROPOSAL TO THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") ON MARCH 27, 2023 IN ORDER TO RESOLVE ALLEGATIONS OF DISCREPANCIES IN THE MONTHLY REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS BETWEEN MARCH 2022 AND JANUARY 2023 IN DEFAULT OF REGULATION 21 OF THE SEBI REGULATIONS. THE SETTLEMENT ORDER WAS PASSED BY SEBI AND WENT INTO IMMEDIATE EFFECT ON SEPTEMBER 18, 2023.
09-18-2023
Settled
Y
CivilAdminPenaltyFine
31771.05
31771.05
08-23-2023
31771.05
9-E2
ICE FUTURES U.S.
2022-009
55 E 52nd St.
Suite 40
New York
NY
10022
PURSUANT TO AN OFFER OF SETTLEMENT, IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE VIOLATIONS, GSCO AGREED TO PAY A MONETARY FINE OF $70,000. THE FINE WAS PAID BY SUBMISSION OF A WIRE ON OCTOBER 9, 2023.
09-20-2023
ICE FUTURES U.S.
CivilAdminPenaltyFine
Futures - Commodity
ON SEPTEMBER 20, 2023, A SUBCOMMITTEE OF THE ICE FUTURES U.S. BUSINESS CONDUCT COMMITTEE ("IFUS") DETERMINED THAT GOLDMAN SACHS & CO. LLC ("GSCO") MAY HAVE VIOLATED EXCHANGE RULES 6.15(A) AND 4.01(B) BY INACCURATELY REPORTING LARGE TRADER POSITIONS IN MULTIPLE INSTANCES BETWEEN NOVEMBER 2021 AND NOVEMBER 2022, AND FAILING TO IMPLEMENT SUPERVISORY SYSTEMS, POLICIES, AND PROCEDURES DESIGNED TO ENSURE COMPLIANCE WITH EXCHANGE RULES.
10-09-2023
Settled
Y
CivilAdminPenaltyFine
70000.00
70000.00
10-09-2023
70000.00
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
ICE FUTURES U.S.
2022-009
55 E 52nd St
Suite 40
New York
NY
10022
PURSUANT TO AN OFFER OF SETTLEMENT, IN WHICH GSI NEITHER ADMITTED NOR DENIED THE VIOLATIONS, GSI AGREED TO PAY A MONETARY FINE OF $105,000. THE FINE WAS PAID BY SUBMISSION OF A WIRE ON OCTOBER 9, 2023.
09-20-2023
ICE FUTURES U.S.
CivilAdminPenaltyFine
Futures - Commodity
ON SEPTEMBER 20, 2023, A SUBCOMMITTEE OF THE ICE FUTURES U.S. BUSINESS CONDUCT COMMITTEE ("IFUS") DETERMINED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") MAY HAVE VIOLATED EXCHANGE RULES 6.15(A), 2.12 AND 4.01(B) BY INACCURATELY REPORTING LARGE TRADER POSITIONS BETWEEN NOVEMBER 2021 AND NOVEMBER 2022, OPEN INTEREST BETWEEN APRIL 2021 AND DECEMBER 2022 AND FAILING TO IMPLEMENT SUPERVISORY SYSTEMS, POLICIES, AND PROCEDURES DESIGNED TO ENSURE COMPLIANCE WITH EXCHANGE RULES.
10-09-2023
Settled
Y
CivilAdminPenaltyFine
105000.00
105000.00
10-09-2023
105000.00
9-C2
9-C5
SECURITIES AND EXCHANGE COMMISSION
3-21700
450 Fifth Street NW.
Washington
DC
20549-0711
THE SEC ORDERED THAT GSCO CEASE AND DESIST; IS CENSURED; AND PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $6,000,000. THE FINE WAS PAID ON OCTOBER 3, 2023.
09-22-2023
SECURITIES AND EXCHANGE COMMISSION
Cease and Desist
No Product
ON SEPTEMBER 22, 2023, THE SECURITIES AND EXCHANGE COMMISSION ("SEC" OR "COMMISSION") INSTITUTED PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST GOLDMAN SACHS & CO. ("GSCO" OR "THE FIRM") PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(E) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), BASED ON THEIR DETERMINATION THAT FEDERAL SECURITIES LAWS WERE VIOLATED. GSCO ADMITTED THE SEC'S JURISDICTION AND THE FACTS SET FORTH IN THE ORDER AND SUBMITTED AN OFFER OF SETTLEMENT ("OFFER"), WHICH THE SEC ACCEPTED. THE SEC FOUND THAT FROM AT LEAST NOVEMBER 2012 THROUGH OCTOBER 2022, AT LEAST 22,192 OUT OF 52,147 OF THE ELECTRONIC BLUE SHEETS ("EBS") SUBMITTED BY GSCO INCLUDED INACCURATE OR INCOMPLETE INFORMATION, RESULTING IN THE MISREPORTING OF TRADE DATA. AS A RESULT, THE FIRM VIOLATED THE RECORDKEEPING AND REPORTING REQUIREMENTS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULES 17A-4(J) AND 17A-25. GSCO INITIATED A VOLUNTARY REMEDIATION PROGRAM AND IS RESUBMITTING CORRECTED EBS TO THE COMMISSION.
09-22-2023
Order
N
Y
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
6000000.00
6000000.00
10-03-2023
6000000.00
9-E2
FINANCIAL INDUSTRY REGULATORY AUTHORITY
2019061945001
1700 K Street, NW
Washington
DC
20006
PURSUANT TO THE AWC, GSCO WAS CENSURED, IS REQUIRED TO CERTIFY TO FINRA WITHIN 90 DAYS THAT IT HAS REMEDIATED THE ISSUES IDENTIFIED IN THE AWC AND IMPLEMENTED A SUPVERSORY SYSTEM RESONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES, AND AGREED TO PAY A MONETARY FINE OF $6,000,000. THE FINE WAS PAID ON OCTOBER 3, 2023.
09-22-2023
FINANCIAL INDUSTRY REGULATORY AUTHORITY
CivilAdminPenaltyFine
No Product
ON SEPTEMBER 22, 2023, THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ACCEPTED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT ("AWC") SUBMITTED BY GOLDMAN SACHS & CO. LLC ("GSCO" OR "THE FIRM") IN WHICH GSCO NEITHER ADMITTED NOR DENIED FINRA'S FINDINGS BUT CONSENTED TO THE SANCTIONS AND TO THE FINDINGS THAT FROM NOVEMBER 2012 THROUGH MARCH 2022, IT SUBMITTED ALMOST 25,000 ELECTRONIC BLUE SHEETS ("EBS") TO FINRA THAT INACCURATELY REPORTED ONE OR MORE OF 39 SEPARATE TYPES OF TRANSACTION INFORMATION AND MISREPORTED AT LEAST 97 MILLION TRANSACTIONS. AS A RESULT, THE FIRM VIOLATED FINRA RULES 8211, 8213, AND 2010. IN ADDITION, FINRA FOUND THE FIRM'S FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA AND THE SECURITIES AND EXCHANGE COMMISSION ("SEC") EBS REQUIREMENTS WAS IN VIOLATION OF FINRA RULES 3110, 2010 AND NASD RULE 3010. GSCO CURRENTLY HAS AN ONGOING REMEDIATION PROGRAM TO IMPROVE ITS EBS SYSTEM AND ADDRESS THE DISCOVERED DEFICIENCIES.
09-22-2023
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
6000000.00
6000000.00
10-03-2023
6000000.00
9-C2
9-C5
COMMODITY FUTURES TRADING COMMISSION
23-59
1155 21st Street, NW,
Washington
DC
20581
THE CFTC ORDERED THAT GSCO CEASE AND DESIST FROM VIOLATING THESE PROVISIONS OF THE CEA AND COMMISSION REGULATIONS; COMPLY WITH THE CONDITIONS AND UNDERTAKINGS ENUMERATED IN THE OFFER; AND PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $30,000,000. THE FINE WAS PAID ON OCTOBER 5, 2023.
09-29-2023
COMMODITY FUTURES TRADING COMMISSION
CivilAdminPenaltyFine
Derivative(s)
ON SEPTEMBER 29, 2023, THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION" OR "CFTC") ISSUED AN ORDER AGAINST GOLDMAN SACHS & CO. LLC ("GSCO"), ACCEPTING AN OFFER OF SETTLEMENT SUBMITTED BY GSCO, IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE COMMISSION'S FINDINGS. THE CFTC FOUND THAT FROM DECEMBER 31, 2012 TO THE PRESENT, GSCO VIOLATED SECTIONS 2(A)(13)(F) AND (G) AND 4S(H)(1) OF THE COMMODITY EXCHANGE ACT ("CEA"), 7 U.S.C. 2(A)(13)(F), (G), 6S(H)(1), AND COMMISSION REGULATIONS 23.431(A)(3)(I), 23.602(A), 43.3(A)(1), 45.3(B)(1), 45.4(C), 45.6, 17 C.F.R. 23.431(A)(3)(I), 23.602(A), 43.3(A)(1), 45.3(B)(1), 45.4(C), AND 45.6 (2022) IN CONNECTION WITH GSCO'S ALLEGED FAILURE TO REPORT ACCURATELY AND TIMELY SWAP DATA, DISCLOSE CERTAIN PTMMMS IN ACCORDANCE WITH THE CFTC'S REQUIREMENTS, AND SUPERVISE CERTAIN AREAS OF ITS SWAP DEALER BUSINESS, INCLUDING SWAP DATA REPORTING, PRE-TRADE MID-MARKET MARKS ("PTMMM") DISCLOSURES, A PERSONNEL REPORTING LINE, CLEARING MEMBER RISK MANAGEMENT POLICY, NOTICES REGARDING ITS INITIAL MARGIN MODEL AND TO UNSEGREGATED CLIENTS, AND DISCLOSURE OF STATIC MATERIAL ECONOMIC TERMS. GSCO HAS AND CONTINUES TO TAKE REMEDIAL STEPS TO ADDRESS THE DEFICIENCIES.
09-29-2023
Order
N
Y
Cease and Desist
CivilAdminPenaltyFine
Undertaking
30000000.00
30000000.00
10-05-2023
30000000.00
9-C2
9-C5
COMMODITY FUTURES TRADING COMMISSION
23-60
1155 21st Street, NW
Washington
DC
20581
THE CFTC ORDERED THAT GSCO CEASE AND DESIST; COMPLY WITH THE CONDITIONS AND UNDERTAKINGS ENUMERATED IN THE OFFER; AND PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $3,000,000. THE FINE WAS PAID ON OCTOBER 5, 2023.
09-29-2023
COMMODITY FUTURES TRADING COMMISSION
CivilAdminPenaltyFine
Other
GAS AND OIL FUTURES
ON SEPTEMBER 29, 2023, THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION" OR "CFTC") ISSUED AN ORDER AGAINST GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), ACCEPTING AN OFFER OF SETTLEMENT SUBMITTED BY GSCO, IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE COMMISSION'S FINDINGS. THE CFTC FOUND THAT GSCO FAILED TO MAINTAIN AN ADEQUATE SUPERVISORY SYSTEM WITH RESPECT TO DISRUPTIVE TRADING, IN VIOLATION OF COMMISSION REGULATION 166.3, IN CONNECTION WITH A SINGLE EIGHT-MINUTE TRADING EPISODE FROM DECEMBER 29, 2017. ADDITIONALLY, THE CFTC FOUND THAT GSCO REASONABLY SHOULD HAVE KNOWN THAT THE OMISSION OF INFORMATION REGARDING THE FIRM'S CONTROL SYSTEMS AND THEIR MALFUNCTION IN CONNECTION WITH DECEMBER 29, 2017 TRADING EPISODE FROM A STATEMENT TO THE CFTC'S DIVISION OF ENFORCEMENT WAS MATERIALLY MISLEADING, IN VIOLATION OF SECTION 6(C)(2) OF THE COMMODITY EXCHANGE ACT.
09-29-2023
Order
N
Y
Cease and Desist
CivilAdminPenaltyFine
3000000.00
3000000.00
10-05-2023
3000000.00
1
9-D2
GOLDMAN SACHS (INDIA) ALTERNATIVE INVESTMENT MANAGEMENT PVT. LTD.
N
RESERVE BANK OF INDIA
6134/ 2023
22nd Floor, Central Office Building, Sha
Bhagat Singh Marg, Fort
Mumbai
K7
400001
PURSUANT TO THE COMPOUNDING ORDER, GS AIF IM ADMITTED TO THE VIOLATION AND AGREED TO PAY RUPEES 16,75,000 (APPROXIMATELY USD 20,125.14) WHICH WAS PAID ON SEPTEMBER 21, 2023.
09-11-2023
RESERVE BANK OF INDIA
CivilAdminPenaltyFine
No Product
ON SEPTEMBER 11, 2023, THE RESERVE BANK OF INDIA ("RBI") ISSUED A COMPOUNDING ORDER AGAINST GOLDMAN SACHS (INDIA) ALTERNATIVE INVESTMENT MANAGEMENT PVT. LTD. ("GS AIF IM" OR "ENTITY") BASED ON THEIR DETERMINATION THAT GS AIF IM RECEIVED FOREIGN DIRECT INVESTMENT WITHOUT APPROVAL IN CONTRAVENTION OF REGULATION 16(B) (TABLE SERIAL NO. F.10) OF THE FOREIGN EXCHANGE MANAGEMENT (TRANSFER OR ISSUE OF SECURITY BY A PERSON RESIDENT OUTSIDE INDIA) REGULATIONS , 2017. ON DECEMBER 1, 2022, THE DEPARTMENT OF ECONOMIC AFFAIRS, GOVERNMENT OF INDIA, GRANTED POST-FACTO APPROVAL TO GS AIF IM SUBJECT TO COMPOUNDING WITH THE RBI.
09-21-2023
Order
N
Y
CivilAdminPenaltyFine
20125.14
20125.14
09-21-2023
20125.14
9-E2
NASDAQ STOCK MARKET
2019063499507
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-06-2024
NASDAQ STOCK MARKET
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-06-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
PAYMENT IN PROGRESS
37000.00
9-E2
NASDAQ PHLX LLC
2019063499509
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-06-2024
NASDAQ PHLX LLC
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-06-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
PAYMENT IN PROGRESS
37000.00
9-E2
NASDAQ BX, INC.
2019063499508
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-06-2024
NASDAQ BX, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-06-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
PAYMENT IN PROGRESS
37000.00
9-E2
INVESTORS' EXCHANGE LLC
2019063499506
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-06-2024
INVESTORS' EXCHANGE LLC
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-06-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
20000.00
20000.00
02-26-2024
20000.00
9-E2
NYSE AMERICAN LLC
2019063499511
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-05-2024
NYSE AMERICAN LLC
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-05-2024
Acceptance Waiver & Consent (AWC)
N
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
02-26-2024
37000.00
9-E2
NYSE NATIONAL INC.
2019063499514
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-05-2024
NYSE NATIONAL INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-05-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
8500.00
8500.00
02-26-2024
8500.00
9-E2
NYSE ARCA
2019063499512
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-05-2024
NYSE ARCA
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-05-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
02-26-2024
37000.00
9-E2
NYSE CHICAGO, INC.
2019063499513
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-05-2024
NYSE CHICAGO, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-05-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
02-26-2024
37000.00
9-E2
NEW YORK STOCK EXCHANGE
2019063499510
C/O FINRA DEPT. OF ENFORCEMENT
9509 Key West Avenue
ROCKVILLE
MD
20850
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
02-05-2024
NEW YORK STOCK EXCHANGE
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
02-05-2024
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
37000.00
37000.00
02-26-2024
37000.00
9-E2
CBOE EDGX EXCHANGE, INC.
STAR NO. 20190634995-03/FILE NO. URE-98-07
17 State St, 31st & 32nd Floor
NEW YORK
NY
10004
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
01-24-2024
CBOE EDGX EXCHANGE, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
01-25-2024
Consent
Y
Censure
CivilAdminPenaltyFine
47000.00
47000.00
PAYMENT IN PROGRESS
47000.00
9-E2
CBOE EDGA EXCHANGE, INC.
STAR NO. 20190634995-04/FILE NO. URE-98-08
17 State St, 31st & 32nd Floor
NEW YORK
NY
10004
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
01-24-2024
CBOE EDGA EXCHANGE, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
01-25-2024
Consent
N
Y
Censure
CivilAdminPenaltyFine
47000.00
47000.00
PAYMENT IN PROGRESS
47000.00
9-E2
CBOE BZX EXCHANGE, INC.
STAR NO. 20190634995-01/ FILE NO. URE-98-05
17 State St, 31st & 32nd Floor
NEW YORK
NY
10004
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
01-24-2024
CBOE BZX EXCHANGE, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
01-25-2024
Consent
N
Y
Censure
CivilAdminPenaltyFine
47000.00
47000.00
PAYMENT IN PROGRESS
47000.00
9-E2
CBOE BYX EXCHANGE, INC.
STAR NO. 201906349955-02/FILE NO. URE-98-06
17 State St, 31st & 32nd Floor
NEW YORK
NY
10004
THE FIRM WAS CENSURED AND FINED A TOTAL AMOUNT OF $512,500 BY FINRA AND THE 13
EXCHANGES, ALLOCATED AS FOLLOWS: $37,000 BY FINRA; $47,000 BY CBOE BYX EXCHANGE, INC.;
$47,000 BY CBOE BZX EXCHANGE, INC.; $47,000 BY CBOE EDGA EXCHANGE, INC.; $47,000 BY CBOE EDGX
EXCHANGE, INC.; $20,000 BY INVESTORS EXCHANGE LLC; $37,000 BY THE NASDAQ STOCK MARKET LLC;
$37,000 BY NASDAQ BX, INC.; $37,000 BY NASDAQ PHLX LLC; $37,000 BY THE NEW YORK STOCK
EXCHANGE LLC; $37,000 BY NYSE AMERICAN; $37,000 BY NYSE ARCA, INC.; $37,000 BY NYSE CHICAGO,
INC.; AND $8,500 BY NYSE NATIONAL, INC.
01-24-2024
CBOE BYX EXCHANGE, INC.
CivilAdminPenaltyFine
No Product
GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), SUBMITTED LETTERS OF CONSENT AND LETTERS
OF ACCEPTANCE, WAIVER, AND CONSENT (COLLECTIVELY, "LETTERS"), WHICH WERE ACCEPTED TO
ENTER SETTLEMENTS WITH FINRA AND 13 EXCHANGES. GSCO NEITHER ADMITTED NOR DENIED THE
FINDINGS IN THE LETTERS, AND CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT ITS
SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE
TRADING ACTIVITY. SPECIFICALLY, FINRA AND THE 13 EXCHANGES FOUND THAT GSCO FAILED TO
INCLUDE WARRANTS, RIGHTS, UNITS, AND CERTAIN OVER-THE-COUNTER ("OTC") EQUITY SECURITIES IN
CERTAIN SURVEILLANCE REPORTS DESIGNED TO IDENTIFY POTENTIALLY MANIPULATIVE PROPRIETARY
AND CUSTOMER TRADING. THESE SECURITIES WERE EXCLUDED FOR EXTENDED PERIODS RANGING
FROM APPROXIMATELY TWO YEARS TO MORE THAN 12 YEARS, BETWEEN 2009 AND 2023. THE FIRM?S
SUPERVISORY SYSTEM DID NOT REQUIRE A REVIEW OF ITS AUTOMATED SURVEILLANCE REPORTS, AND
AS A RESULT, GSCO FAILED TO DETECT THESE DEFICIENCIES. GSCO COMPLETED REMEDIATION FOR ALL
SURVEILLANCE REPORTS, AND ALSO IMPLEMENTED REVIEWS TO IDENTIFY IF ANY SECURITY WAS
INADVERTENTLY EXCLUDED FROM NEW OR MODIFIED SURVEILLANCE REPORTS.
01-25-2024
Consent
Y
Censure
CivilAdminPenaltyFine
47000.00
47000.00
PAYMENT IN PROGRESS
47000.00
9-E2
ICE Futures U.S.
2022-033
55 E 52nd Street, Suite 40
New York
NY
10055
IN ACCORDANCE WITH THE TERMS OF SETTLEMENT, IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE ALLEGED RULE VIOLATION, GSCO AGREED TO PAY A MONETARY PENALTY OF $10,000. THE FINE WAS PAID IN FULL ON FEBRUARY 26, 2024.
02-21-2024
ICE Futures U.S.
CivilAdminPenaltyFine
No Product
ON FEBRUARY 21, 2024, A SUBCOMMITTEE OF THE ICE FUTURES U.S. BUSINESS CONDUCT COMMITTEE ("IFUS") DETERMINED THAT GOLDMAN SACHS & CO. LLC ("GSCO") MAY HAVE VIOLATED EXCHANGE RULE 4.02(C) ON JULY 29, 2022, WHEN AN EMPLOYEE, UPON RECEIPT OF SIMULTANEOUS BUY AND SELL ORDERS IN THE SAME FUTURES CONTRACT, FAILED TO INQUIRE ABOUT THE OWNERSHIP TO CONFIRM WHETHER THEY BELONGED TO THE SAME PRINCIPAL, AND ENTERED THE ORDERS RESULTING IN A WASH TRADE.
02-21-2024
Settled
IN ACCORDANCE WITH THE TERMS OF SETTLEMENT, IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE ALLEGED RULE VIOLATION, GSCO AGREED TO PAY A MONETARY PENALTY OF $10,000. THE FINE WAS PAID IN FULL ON FEBRUARY 26, 2024.
N
9-E2
GOLDMAN SACHS & CO. LLC
361
2272538
1
9-E2
GOLDMAN SACHS INTERNATIONAL
N
TW SEF LLC
NONE
1177 AVENUE OF THE AMERICAS
NEW YORK
NY
10036
AS THIS WAS GSI'S SECOND VIOLATION WITHIN A 12-MONTH PERIOD, TWSEF IMPOSED A FINE OF $1,250 WHICH GSI PAID BY SUBMISSION OF A WIRE ON APRIL 24, 2024.
03-25-2024
TW SEF LLC
CivilAdminPenaltyFine
Swap
ON MARCH 25, 2024, TW SEF LLC ("TWSEF") DETERMINED GOLDMAN SACHS INTERNATIONAL ("GSI") VIOLATED TWSEF RULE 1005, BY FAILING TO NOTIFY TWSEF OF AN ERROR TRADE.
03-25-2024
Decision
N
N
9-E2
ICE Summary Fine
2023-025
55 E 52nd St
Suite 40
New York
NY
10022
IFUS IMPOSED A SUMMARY FINE OF $15,000, WHICH GSCO PAID BY SUBMISSION OF A WIRE ON MAY 8, 2024.
04-30-2024
ICE Futures U.S.
CivilAdminPenaltyFine
No Product
ON APRIL 30, 2024, THE MARKET REGULATION DEPARTMENT OF ICE FUTURES U.S., INC. ("IFUS") FOUND THAT GOLDMAN SACHS & CO. LLC ("GSCO") FAILED TO MEET THE REQUIREMENTS OF EXCHANGE RULES 4.19(C)(II)(2), AND 4.19(E), BY FAILING TO PRESERVE THE REQUIRED ORDER MESSAGE DATA.
04-30-2024
Decision
Y
CivilAdminPenaltyFine
15000.00
15000.00
05-08-2024
15000.00
1
9-D2
Goldman Sachs Australia Pty Ltd
N
Goldman Sachs & Co. LLC
361
2346802
1
9-E2
Goldman Sachs International
N
BSEF Rule Violation
N/A
251 Little Falls Drive
Wilmington
DE
19808
AS THIS WAS GSI'S SECOND VIOLATION WITHIN A 12-MONTH PERIOD, BSEF IMPOSED A FINE OF $1,250, WHICH GSI PAID BY SUBMISSION OF A WIRE ON MAY 20, 2024.
04-29-2024
Bloomberg SEF
CivilAdminPenaltyFine
Other
Credit Default Swap
ON APRIL 29, 2024, BLOOMBERG SEF LLC ("BSEF") DETERMINED THAT GOLDMAN SACHS INTERNATIONAL ("GSI"), VIOLATED BSEF RULE 516 BY FAILING TO NOTIFY BSEF OF AN ERROR TRADE AND BY FAILING TO USE BSEF'S OFFSET AND CORRECT FUNCTIONALITY.
04-29-2024
Decision
Y
CivilAdminPenaltyFine
1250.00
1250.00
05-20-2024
1250.00
1
9-D2
Goldman Sachs Australia Pty LTD
N
Goldman Sachs & Co. LLC
361
2346802
1
9-E2
Goldman Sachs International
N
Bloomberg SEF LLC
None
731 Lexington Avenue
New York
NY
10022
AS THIS WAS GSI'S SECOND VIOLATION WITHIN A 12-MONTH PERIOD, BSEF IMPOSED A FINE OF $1,250, WHICH GSI PAID BY SUBMISSION OF A WIRE ON AUGUST 14, 2024.
07-29-2024
Bloomberg SEF LLC
CivilAdminPenaltyFine
Swap
ON JULY 29, 2024, BLOOMBERG SEF LLC ("BSEF") DETERMINED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") VIOLATED BSEF RULE 531.A(D) BY SUBMITTING BLOCK TRADES TO BSEF MORE THAN 10 MINUTES AFTER THE TIME THE PARTICIPANTS AGREED TO THE TERMS OF THE BLOCK TRADES.
07-29-2024
Decision
Y
CivilAdminPenaltyFine
1250.00
1250.00
08-14-2024
1250.00
1
9-E2
Goldman Sachs International
N
Bloomberg SEF LLC
None
731 Lexington Avenue
New York
NY
10022
AS THIS WAS GSI'S SECOND VIOLATION WITHIN A 12-MONTH PERIOD, BSEF INITIALLY IMPOSED A FINE OF $1,250, WHICH GSI PAID BY SUBMISSION OF A WIRE ON AUGUST 14, 2024. ON AUGUST 14, 2024, BSEF SENT A REVISED FINE NOTICE TO REFLECT A $500 PENALTY INCREASE FROM THE ORIGINAL INVOICE ON THE BASIS THAT THIS WAS THE SECOND SUMMARY FINE IN A 12-MONTH PERIOD FOR THE SAME RULE VIOLATION. GSI RECEIVED THE INVOICE ON AUGUST 20, 2024, AND THE DEADLINE FOR PAYMENT IS SEPTEMBER 17, 2024. THE REQUIRED APPROVALS FOR THE PAYMENT ARE BEING ARRANGED.
07-29-2024
Bloomberg SEF LLC
CivilAdminPenaltyFine
Swap
ON JULY 29, 2024, BLOOMBERG SEF LLC ("BSEF") DETERMINED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") VIOLATED BSEF RULE 516 BY FAILING TO NOTIFY BSEF OF AN ERROR TRADE AND BY FAILING TO USE BSEF'S OFFSET AND CORRECT FUNCTIONALITY.
08-14-2024
Decision
Y
CivilAdminPenaltyFine
1750.00
1750.00
AS THIS WAS GSI'S SECOND VIOLATION WITHIN A 12-MONTH PERIOD, BSEF INITIALLY IMPOSED A FINE OF $1,250, WHICH GSI PAID BY SUBMISSION OF A WIRE ON AUGUST 14, 2024. ON AUGUST 14, 2024, BSEF SENT A REVISED FINE NOTICE TO REFLECT A $500 PENALTY INCREASE FROM THE ORIGINAL INVOICE ON THE BASIS THAT THIS WAS THE SECOND SUMMARY FINE IN A 12-MONTH PERIOD FOR THE SAME RULE VIOLATION. GSI RECEIVED THE INVOICE ON AUGUST 20, 2024, AND THE DEADLINE FOR PAYMENT IS SEPTEMBER 17, 2024. THE REQUIRED APPROVALS FOR THE PAYMENT ARE BEING ARRANGED.
1750.00
9-E2
Goldman Sachs & Co. LLC
361
2354614
9-E2
Goldman Sachs & Co. LLC
361
2354615
1
9-D2
Goldman Sachs Mexico, Casa de Bolsa, S.A. de C.V.
N
Goldman Sachs & Co. LLC
361
2088120
1
9-C2
9-C5
The Goldman Sachs Group, Inc.
N
Goldman Sachs & Co. LLC
361
2364474
1
9-D2
Goldman Sachs Bank USA
N
Goldman Sachs & Co. LLC
361
2369541
9-E2
Goldman Sachs & Co. LLC
361
2369542
9-E2
Goldman Sachs & Co. LLC
361
2343281
1
9-D2
Goldman Sachs Bank Europe SE
N
Goldman Sachs & Co. LLC
361
2395472
1
9-D2
Goldman Sachs Bank Europe SE
N
Goldman Sachs & Co. LLC
361
2395473
1
9-D2
J. Aron & Company LLC
N
Goldman Sachs & Co. LLC
361
2395474
9-D2
Goldman Sachs & Co. LLC
361
2396330
9-D2
Goldman Sachs & Co. LLC
361
2396323
1
9-D2
J. Aron & Company LLC
N
Goldman Sachs & Co. LLC
361
2395474
1
9-E2
Goldman Sachs International
N
Goldman Sachs & Co. LLC
361
2425960
9-E2
Goldman Sachs & Co. LLC
361
2428237
9-E2
GOLDMAN SACHS & CO. LLC
361
2455573
1
9-D2
Goldman Sachs International Bank, Johannesburg Branch
N
Goldman Sachs & Co. LLC
361
2467300
1
9-E2
Goldman Sachs International
N
Goldman Sachs & Co. LLC
361
2464735
1
9-E2
Folio Investments, Inc.
Y
008-52009
FINRA DEPARTMENT OF ENFORCEMENT
2017056222301
9509 KEY WEST AVENUE
ROCKVILLE
MD
20850
On February 27, 2026, without admitting or denying the allegations or findings in the AWC, GSCS consented to a censure, undertaking, and fine in the amount of $1,300,000. GSCS paid the fine by wire submission on March 13, 2026.
02-27-2026
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
Censure
CivilAdminPenaltyFine
Undertaking
Other
UNSPECIFIED SECURITIES
Folio Investments, Inc. (DBA Goldman Sachs Custody Solutions) ("GSCS") submitted a Letter of Acceptance, Waiver and Consent ("AWC") that was accepted by the Financial Industry Regulatory Authority ("FINRA") and became final on February 27, 2026. Without admitting or denying the findings, the AWC resolved allegations that GSCS failed to conduct reasonable regular and rigorous reviews of execution quality, as laid out in FINRA Rule 5310.09(B). The AWC states that GSCS's supervisory system was not reasonably designed to achieve compliance with its best execution obligations.
02-27-2026
Acceptance Waiver & Consent (AWC)
Y
Censure
CivilAdminPenaltyFine
Undertaking
1300000.00
1300000.00
03-13-2026
1300000.00
9-H1b
GOLDMAN, SACHS & CO.
361
1505029
9-H1b
GOLDMAN, SACHS & CO.
361
1247737
9-H1b
GOLDMAN, SACHS & CO.
361
1134508
9-H1c
THE STATE OF NEW MEXICO COUNTY OF SANTA FE FIRST JUDICIAL DISTRICT COURT
D-101-CV-2014-00256
225 MONTEZUMA AVE.
SANTA FE
NM
87501
THE STATE OF NEW MEXICO AND THE DEFENDANTS, INCLUDING GSCO, ENTERED INTO A SETTLEMENT AGREEMENT FOR THE AMOUNT OF $32,500,000 ON NOVEMBER 19, 2021, IN WHICH THE DEFENDANTS SETTLED ALL CLAIMS WITHOUT ANY ADMISSION OF LIABILITY OR WRONGDOING. THE COURT ENTERED A STIPULATION OF DISMISSAL ON NOVEMBER 30, 2021, PURSUANT TO WHICH, GSCO WAS DISMISSED WITH PREJUDICE.
08-31-2020
State
STATE OF NEW MEXICO
Y
GOLDMAN SACHS & CO. LLC
Y
Money Damage(s) (Private/Civil Complaint)
CIVIL PENALTY OF NOT LESS THAN $5000 AND NOT MORE THAN $10,000 PER VIOLATION
09-28-2020
Other
RESIDENTIAL MORTGAGE-BACKED SECURITIES
GOLDMAN SACHS & CO. LLC ("GSCO") AND OTHER UNDERWRITERS OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS") WERE NAMED IN A COMPLAINT IN INTERVENTION FILED BY THE STATE OF NEW MEXICO ON AUGUST 31, 2020 AND MOVED TO UNSEAL A QUI TAM ACTION INITIALLY FILED BY INTEGRA REC, LLC. THE COMPLAINT IN INTERVENTION ASSERTED VIOLATIONS OF THE NEW MEXICO FRAUD AGAINST TAXPAYERS ACT,THE NEW MEXICO SECURITIES ACT, AND THE COMMON LAW OF NEW MEXICO BASED ON ALLEGATIONS THE DEFENDANTS MISREPRESENTED THE NATURE, QUALITY, CHARACTERISTICS, AND RISK PROFILE OF RESIDENTIAL MORTGAGE POOLS BACKING RMBS.
11-30-2021
Settled
N
/s/ Darian Futrell
Darian M. Futrell
Chief Compliance Officer
03-26-2026
361
N
N
N
N
N
Y
Y
Y
N
N
Y
Y
Y
N
N
N
N
Y
N
Y
N