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Disclosures

Regulatory Disclosures

Futures Commission Merchant (FCM) Regulatory Disclosures Pursuant to CFTC Rule 1.55(k)(1-11) - (o)(1,3,4)- Goldman Sachs & Co. LLC (GS&Co.)

GS&Co. Allocation Procedures for Callable Securities [PDF, 103 KB]

GS&Co. Limit-Up Limit Down Disclosure [PDF, 114 KB]

New Rules Regarding Transactions in Canadian Securities in the Canadian Marketplace [PDF, 300 KB]

Notice Relating to Fails to Deliver Arising from Customer Sale Transactions in U.S. Equity Securities [PDF, 83 KB]

CFTC Swaps-Related Disclosures

Statement on Option Position Limits/Exercise Procedures and Other Disclosures for U.S. Listed Options [PDF, 116 KB]

Business Continuity Disclosure
The Goldman Sachs Business Continuity Program For Disaster Recovery [PDF, 221 KB]

Regulation NMS - Goldman Sachs & Co. LLC
Policy Statement Regarding Compliance with Regulation NMS’s Order Protection Rule [PDF, 90 KB]

GS&Co. Quoting, Order Acceptance and Trading under the Regulation NMS Tick Size Pilot Program [PDF, 398 KB]

Special Notice - Goldman Sachs & Co. LLC
GS&Co. Disclosure Regarding FINRA Rule 5270 [PDF, 73KB]
A Special Notice Regarding Order Handling Practices for Listed and Over-the-Counter Derivatives [PDF, 73 KB]
Order Handling Policies and Procedures Relating to Equities Products [PDF, 108 KB]
A Special Notice Regarding the S.E.C.’s Large Trader Rule [PDF, 96 KB]
GS&Co. Large Trader ID Questionnaire [PDF, 71 KB]
US Listed Options Expiration Friday Migration Overview & FAQ [PDF, 119 KB]

SEC Required Disclosures - Goldman Sachs & Co. LLC
Disclosure of SEC-Required Order Execution Information - Goldman Sachs & Co. LLC
Disclosure of SEC-Required Order Routing Information - Goldman Sachs & Co. LLC 

Special Notice - Goldman Sachs Execution & Clearing, L.P.
As of June 12, 2017, GSEC merged with and into GS&Co.; for historical GSEC notices please view the Archive folder.  
[VIEW ARCHIVE]

SEC Required Disclosures - Goldman Sachs Execution & Clearing, L.P.
Disclosure of SEC-Required Order Routing Information - July 31, 2017
Disclosure of SEC-Required Order Execution Information - July 31, 2017
[VIEW ARCHIVE]

Disclosures Required by SEC Settlement - Auction Rate Securities
Important Disclosures and Considerations for Investors in Auction Rate Securities [PDF, 81 KB]

2009 Disclosure of Intent to Bid by Issuer/Conduit Borrowers with Respect to Auction Securities

2008 Disclosure of Intent to Bid by Issuer/Conduit Borrowers with Respect to Auction Securities

Goldman Sachs' Terms of Dealing Disclosure
Goldman Sachs' Terms of Dealing [PDF, 114 KB]

Select Commodity Disclosures
Terms of Dealing Spot Precious Metals Trading [PDF, 227 KB]

SIGMA X HK
SIGMA X HK User Guidelines (clean version) – August 2016 [PDF, 167 KB]
SIGMA X HK User Guidelines (markup version) – August 2016 [PDF, 216 KB]

European Disclosures
European Disclosures ARCHIVE

Goldman Sachs International EMEA Marketing and Allocation Policy [PDF, 80 KB] 

Goldman Sachs CSDR Article 38 and FMIA Article 73 Public Cost Disclosure Statement – (ISAs/OSAs) [PDF, 235 KB]

Goldman Sachs International CSDR Article 38 and FMIA Article 73 General Disclosure Statement – (ISAs/OSAs) [PDF, 146 KB]

Goldman Sachs & Co. LLC CSDR Article 38 and FMIA Article 73 General Disclosure Statement – (ISAs/OSAs) [PDF, 149 KB]

Goldman Sachs Bank USA London Branch Disclosure

Goldman Sachs International Bank Disclosure

Goldman Sachs Asset Management International Disclosure

Goldman Sachs Asset Management Global Services Limited

Goldman Sachs Asset Management Global Services Limited – Order Execution Policy [PDF, 90 KB]

Markets in Financial Instruments Directive

Guidelines for Disclosure and Transparency in Private Equity - United Kingdom [PDF, 82 KB]

Goldman Sachs Group UK Limited – First Quarter 2017 Pillar 3 Disclosures [PDF, 480 KB]

Goldman Sachs Group UK Limited – Pillar 3 Disclosures for 2016 [PDF, 1.1 MB]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the year ended 31 December 2016  [PDF, 598 KB]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the year ended 31 December 2016  [PDF, 368 KB]

Goldman Sachs AG – Pillar 3 Disclosure for 2016 [PDF, 768 KB]

Goldman Sachs Europe - European Policy for Managing Conflicts of Interest in Connection with Investment Research

Goldman Sachs International EMIR Risk Disclosure statement [PDF, 415 KB]

Goldman Sachs International EMIR Cost Disclosure statement [PDF, 243 KB]

EMIR: Public Disclosure of Intragroup Exemptions from Initial Margin Requirements [PDF, 134 KB]

Goldman Sachs International - FMSB Adherence Statement

Goldman Sachs International – Private Wealth Management:  Statement on Compliance with the Financial Reporting Council’s Stewardship Code [PDF, 288 KB]

Goldman Sachs International Bank - FMSB Adherence Statement

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the year ended 31 December 2015 [PDF, 450 KB]

Australian and New Zealand Disclosures

Goldman Sachs Asia Bank Limited Disclosures