Goldman Sachs & Co. LLC

07/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2005002574201 TO: Department of Enforcement NASD RE: Goldman, Sachs & Co., Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Goldman, Sachs & Co. ("Goldman" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2005002574201data-portal.finra.orgfinra.org

03/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO. 20080139143-01 TO: Department of Market Regulation Financial Industry Regulatory Authority("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2008013914301data-portal.finra.orgfinra.org

05/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049001401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm BD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC, submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

Reference 2016049001401data-portal.finra.orgfinra.org

10/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070086601-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2007008660101data-portal.finra.orgfinra.org

10/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO. 20110260967-02 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2011026096702data-portal.finra.orgfinra.org

04/04/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059146501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2018059146501data-portal.finra.orgfinra.org

12/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022049803 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("Goldman Sachs" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010022049803data-portal.finra.orgfinra.org

08/07/2025: In July 2021, Goldman was a lead underwriter for an initial public offering in which it had a conflict of interest, but a qualified independent underwriter (QIU) did not participate in the preparation of the registration statement and prospectus and exercise the usual standards of due diligence. As a result, the firm violated FINRA Rules 5121 and 2010. From May 2021 through March 2022, Goldman permitted four individuals to perform investment banking activities requiring registration during periods when they were not registered with FINRA in any capacity. During the same period, Goldman's supervisory system, including its written procedures, was not reasonably designed to achieve compliance with FINRA registration requirements. As a result, the firm violated FINRA Rules 1210, 3110, and 2010. For these violations, Goldman is censured and fined $250,000.

Reference 2022073415001data-portal.finra.orgfinra.org

05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070078333-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2007007833301data-portal.finra.orgfinra.org

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023688101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010023688101data-portal.finra.orgfinra.org

04/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019301201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent CRD No. 0361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Goldman, Sachs & Co. ("Goldman", "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009019301201finra.orgdata-portal.finra.org

12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2011030683301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") FROM: Goldman, Sachs & Co. CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Goldman, Sachs & Co. ("Goldman Sachs" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2011030683301data-portal.finra.orgfinra.org

12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050001219-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker Dealer CRD No. 361 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Goldman, Sachs & Co. (the "firm" or *'GSCO") submits this Letter of Acceptance, Waiver and

Reference 2005000121901data-portal.finra.orgfinra.org

08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090186424-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2009018642401finra.orgdata-portal.finra.org

12/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080121055-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2008012105501data-portal.finra.orgfinra.org

04/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288572-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

Reference 2011028857201data-portal.finra.orgfinra.org

05/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080120582-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2008012058201data-portal.finra.orgfinra.org

03/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110268270-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2011026827001finra.orgdata-portal.finra.org

09/22/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061945001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019061945001data-portal.finra.orgfinra.org

04/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400379-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co. ("GSCO"), Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040037901data-portal.finra.orgfinra.org

04/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090203753-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009020375301data-portal.finra.orgfinra.org

04/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20041000190-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Goldman, Sachs & Co. (the "firm'') submits this Letter of Acceptance

Reference 2004100019001data-portal.finra.orgfinra.org

07/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050023340-01 TO: Department of Market Regulation NASD RE: Goldman. Sachs & Co. BD No. 361 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman, Sachs & Co. (the "firm'' or "GSCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violationg described in Part Il below. This AWC is

Reference 2005002334001data-portal.finra.orgfinra.org

02/06/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063499505 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC, (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019063499505data-portal.finra.orgfinra.org

09/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTAN6CE, WAIVER AND CONSENT NO. 20070102251-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Goldman, Sachs & Co. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2007010225101data-portal.finra.orgfinra.org

06/04/2010: FINANCIAL INDLJSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WA1VER AND CONSENT NO. 20090168185-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO'' or the ''firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009016818501data-portal.finra.orgfinra.org

06/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037230001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Goldman, Sachs & Co., Respondent Member Firm CRD No. 361 Pursuant to FINRA Rule 92]6 of F]NRA's Code of Procedure, Goldman, Sachs & Co. (“Goldman Sachs" or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037230001finra.orgdata-portal.finra.org

10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110284031-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter ofAcceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations described below. This AWC is

Reference 2011028403101data-portal.finra.orgfinra.org

08/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120325002-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2012032500201finra.orgdata-portal.finra.org

05/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000178-01 TO: Department of Market Regulation NASD RE: Goldman, Sachs & Co. Broker-Dealer CRD No. 361 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman, Sachs & Co. (the "firm" or "GSCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD

Reference 2004100017801data-portal.finra.orgfinra.org

01/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020050169-01 TO: Department of Enforcement NASD RE: Goldman, Sachs & Co., Respondent [BD No. 361] Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman, Sachs & Co. ("Goldman") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us

Reference E102005016901finra.orgdata-portal.finra.org

05/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130395398-01 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2013039539801data-portal.finra.orgfinra.org

07/11/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005002755201 TO: Department of Market Regulation NASD RE: Goldman, Sachs & Co. Broker-Dealer CRD No. 361 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman. Sachs & Co. (the "firm" or "GSCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

Reference 2005002755201data-portal.finra.orgfinra.org

07/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000105 TO: Department of Market Regulation NASD RE: Goldman, Sachs & Co. Broker-Dealer CRD No. 361 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman, Sachs & Co. (the "firm" or "GSCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2004200010501data-portal.finra.orgfinra.org

08/16/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068197401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020068197401data-portal.finra.orgfinra.org

03/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170074-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the firm) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2009017007402data-portal.finra.orgfinra.org

04/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358250-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (*'FINRA'') RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the ''firm" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035825001data-portal.finra.orgfinra.org

11/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010 022 4738-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co. (BD No. 361) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Goldman, Sachs & Co. ("Goldman," the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2010022473801data-portal.finra.orgfinra.org

12/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053432301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC, Respondent Member Firm CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Goldman Sachs & Co. LLC (“Goldman Sachs” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017053432301finra.orgdata-portal.finra.org

11/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100235665-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No, 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (''GSCO" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2010023566501finra.orgdata-portal.finra.org

11/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150451055-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Goldman Sachs & Co. LLC (f/k/a Goldman, Sachs & Co.), Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure,

Reference 2015045105501finra.orgdata-portal.finra.org

12/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140425821 01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Goldman Sachs & Co. LLC, Respondent Broker-Dealer BD No. 361 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Goldman Sachs & Co. LLC (“GSCO” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

Reference 2014042582101data-portal.finra.orgfinra.org

05/13/2025: Between June 2020 and June 2023, Goldman failed to accurately report data for 36.6 billion equity order events to the CAT Central Repository in violation of FINRA Rules 6830, 6893, and 2010, and had related supervisory failures in violation of FINRA Rules 3110 and 2010... Between October and November 2021, Goldman made over 90 million inaccurate order memoranda, inaccurately reported over 6.8 million trades and overreported over 98,000 trades to a trade reporting facility, and issued over 372,000 inaccurate trade confirmations, in violation of Exchange Act § 17(a), Exchange Act Rule 17a-3, and FINRA Rules 4511, 6380A, 6380B, 6622, 7230A, 7230B, 7330 and 2010, and had related supervisory failures in violation of FINRA Rules 3110 and 2010. For these violations, Goldman is censured and fined $1,450,000, of which $1,355,000 shall be paid to FINRA.

Reference 2022074103601data-portal.finra.orgfinra.org

06/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379096-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA 's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037909601data-portal.finra.orgfinra.org

04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100251489-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010025148901finra.orgdata-portal.finra.org

07/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090171872-01 TO: Department ofMarket Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (''GSCO" or the " firm") submits this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009017187201data-portal.finra.orgfinra.org

07/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20120313180-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co. LLC (f/k/a Goldman, Sachs & Co.), Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. LLC' ("GSCO", the "Firm", or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2012031318001finra.orgdata-portal.finra.org

03/17/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE2050004 TO: Department of Enforcement NASD RE: Goldman, Sachs & Co. CRD #361 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Goldman, Sachs & Co. ("Respondent" or "Goldman Sachs") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference CE2050004data-portal.finra.orgfinra.org

01/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059113701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Goldman Sachs & Co. LLC (Respondent) Member Firm CRD No. 361 Pursuant to FINRA Rule 9216, Respondent Goldman Sachs & Co. LLC (Goldman or the Firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018059113701data-portal.finra.orgfinra.org

07/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20120333211-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012033321101data-portal.finra.orgfinra.org

10/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120375500-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co. Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033550001data-portal.finra.orgfinra.org

06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080163749-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman, Sachs & Co., Respondent Broker-Dealer CRD No. 361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2008016374901data-portal.finra.orgfinra.org

06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050037 TO: Department of Enforcement NASD RE: Goldman, Sachs & Co., Respondent [BD No. 361] Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman, Sachs & Co. ("Goldman") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us

Reference C10050037finra.orgdata-portal.finra.org