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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. (GS&Co.) and Goldman Sachs Execution & Clearing, L.P. (GSEC)

GS&Co. and GSEC Allocation Procedures for Callable Securities [PDF, 120 KB]

GS&Co. and GSEC 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 Swap Dealer Disclosures, Material Economic Terms, Risks, and Other Resources Relating to Swaps Transactions (Access to the GS360 Client Portal Required)

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

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

Special Notice - Goldman, Sachs & Co.
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, 119KB]

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

Special Notice - Goldman Sachs Execution & Clearing, L.P.
Order Handling Policies and Procedures Relating to Equities Products [PDF, 84 KB]
A Special Notice Regarding the S.E.C.’s Large Trader Rule [PDF, 96 KB]
GSEC Large Trader ID Questionnaire [PDF, 71 KB]

SEC Required Disclosures - Goldman Sachs Execution & Clearing, L.P.
Disclosure of SEC-Required Order Routing Information - Goldman Sachs Execution & Clearing, L.P.
Disclosure of SEC-Required Order Execution Information - Goldman Sachs Execution & Clearing, L.P.

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

European Disclosures

Goldman Sachs Bank USA London Branch Disclosure

Goldman Sachs International Bank Disclosure

Montague Place Custody Services Disclosure

Goldman Sachs Asset Management International Disclosure

Goldman Sachs Asset Management Global Services Limited

Goldman Sachs Asset Management Global Services Limited – Order Execution Policy

Markets in Financial Instruments Directive

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

Goldman Sachs Group Holdings (U.K.) (“GSGHUK”) Pillar 3 disclosures for 2012 [PDF, 757 KB]

Goldman Sachs Group Holdings (U.K.) (“GSGHUK”) Pillar 3 disclosures for 2011 [PDF, 293 KB]

Goldman Sachs Group Holdings (U.K.) (“GSGHUK”) Pillar 3 disclosures for 2010 [PDF, 303 KB]

Goldman Sachs Group Holdings (U.K.) (“GSGHUK”) Pillar 3 disclosures for 2009 [PDF, 85 KB]

Goldman Sachs Group Holdings (U.K.) (“GSGHUK”) Pillar 3 disclosures for 2008 [PDF, 59 KB]
 

Goldman Sachs Bank (Europe) plc - Pillar 3 Disclosures for 2011 [PDF, 279 KB]

Goldman Sachs Bank (Europe) plc - Pillar 3 Disclosures for 2010 [PDF, 277 KB]

Goldman Sachs Bank (Europe) plc - Pillar 3 Disclosures for 2009 [PDF, 226 KB]

Goldman Sachs Bank (Europe) plc - Pillar 3 Qualitative Disclosures for 2008 [PDF, 80 KB]

Goldman Sachs Bank (Europe) plc - Pillar 3 Quantitative Disclosures for 2008 [PDF, 303 KB]

Compensation Disclosure Goldman Sachs AG for 2012 [PDF, 85 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]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the year ended 31 December 2013 [PDF 462 KB]

Australian and New Zealand Disclosures