Nex Systems
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GOLDMAN SACHS EXECUTION & CLEARNING L.P.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050023633-01 TO: Department of Market Regulation NASD RE: Goldman Sachs Execution & Clearing, L.P. BD No. 3466 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman Sachs Execution & Clearing, L.P. (the "firm" or "SILK") 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 2005002363301data-portal.finra.orgfinra.org

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