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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