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GSET
Compliance Notes
Archived Compliance Notes
26 FEB 2016 -
Important Pre-Borrow Notice Under SEC Rule 204
25 FEB 2016 -
Important Pre-Borrow Notice Under SEC Rule 204
07 JAN 2016 -
Important Pre-Borrow Notice Under SEC Rule 204
15 DEC 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
01 DEC 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
19 NOV 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
01 OCT 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
24 SEP 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
13 AUG 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
11 AUG 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JUL 2015 -
Reminder to Clients Regarding Certain Order Restrictions
12 JUN, 2015 -
Reminder to Clients Regarding Certain Order Restrictions
06 MAY 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
30 APR 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
24 FEB 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
19 FEB 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
17 FEB 2015 -
Reminder to Clients Regarding Certain Order Restrictions
11 FEB 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
10 FEB 2015 -
Important Pre-Borrow Notice Under SEC Rule 204
02 OCT 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
26 SEP 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
26 AUG 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
20 AUG 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
23 MAY 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
23 MAY 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
24 APR 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
02 APR 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
20 MAR 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
19 MAR 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
19 FEB 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
18 FEB 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
13 FEB 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
07 FEB 2014 -
Important Pre-Borrow Notice Under SEC Rule 204
23 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
21 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
16 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
16 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
08 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
07 OCT 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
07 AUG 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
05 AUG 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JUL 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
25 JUN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
06 JUN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
31 MAY 2013 -
Notice to Clients Regarding Restrictions on Crossing Orders in Options Through GSET Systems
17 MAY 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
14 MAY 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
13 MAY 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
10 MAY 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
30 APR 2013 -
Notice to Clients Regarding NYSE Rule 123C(9)
11 MAR 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
11 MAR 2013 -
Notice to Clients Regarding Stop Orders
06 MAR 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
27 FEB 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
21 FEB 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
01 FEB 2013 -
Notice to Clients Regarding Discretionary Orders Directed to SIGMA X ATS
28 JAN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
23 JAN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
18 JAN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JAN 2013 -
Important Pre-Borrow Notice Under SEC Rule 204
20 DEC 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
17 DEC 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
04 DEC 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
29 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
29 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
23 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
23 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
20 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
20 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
15 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
06 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
01 NOV 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
24 SEP 2012 -
Notice to Clients Regarding "Provide Only" Order Type for SIGMA X ATS
24 AUG 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
22 AUG 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
03 AUG 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
20 JUL 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
16 JUL 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
11 JUL 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
06 JUL 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
05 JUL 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
27 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
20 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
19 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JUN 2012 -
Important Pre-Borrow Noice Under SEC Rule 204
11 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
06 JUN 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
24 MAY 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
01 MAY 2012 -
Important Pre-Borrow Notice Under SEC Rule 204
11 APR 2012 -
US Listed Options Market Order Handling Disclosure
12 AUG 2011 -
Short Selling Update - Belgium, France, Italy, and Spain
09 AUG 2011 -
Greece Short Sale Prohibition Notice
18 JUL 2011 -
Important Information Regarding SEC Rule 15c3-5 (Market Access Rule)
24 FEB 2011 -
Notice to Broker-Dealer Clients regarding Rule 201
24 FEB 2011 -
GSEC FAQs re Amendments to SEC Regulation SHO
01 FEB 2011 -
Goldman Sachs Business Continuity Program for Disaster Recovery
01 FEB 2011 -
FOREIGN OWNERSHIP RESTRICTIONS ON CANADIAN SECURITIES
15 JUL 2010 -
NYSE Arca Introduces New Price Collar
13 JUL 2010 -
Notice to Clients Regarding Trading in Canada
30 MAR 2010 -
Important Pre-Borrow Notice Under SEC Rule 204
15 JAN 2010 -
Closing Only Transactions
17 DEC 2009 -
Important Reminder: Prohibited Trading Practices Relating to Odd-Lot Orders
17 DEC 2009 -
Goldman Sachs Privacy Policy
17 DEC 2009 -
Goldman Sachs Business Continuity Program for Disaster Recovery
31 DEC 2007 -
Foreign Ownership Restrictions on Canadian Securities
01 JAN 2007 -
Important Reminder: Prohibited Trading Practices Relating to Odd-Lot Orders
01 JAN 2007 -
Market Data Notices
01 JAN 2007 -
Special Notice Regarding Change in Automatic Exercise of Expiring U.S. Listed Options