Regulatory Disclosures
Client Communications Regarding Buy-Ins on Short Sales [PDF, 10 KB]
Regulation NMS - Goldman, Sachs & Co
Goldman, Sachs & Co. Policy Statement Regarding Compliance with Regulation NMS’s Order Protection Rule [PDF, 88 KB] - Goldman, Sachs & Co.
Special Notice - Goldman, Sachs & Co
A Special Notice Regarding NYSE Hybrid Market Procedures [PDF, 9 KB] - Goldman, Sachs & Co
A Special Notice Regarding Order Handling Practices for Listed and Over-the-Counter Derivatives [PDF, 50 KB] - Goldman, Sachs & Co
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
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
Markets in Financial Instruments Directive
Guidelines for Disclosure and Transparency in Private Equity - United Kingdom [PDF, 89 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 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 & Co. oHG for 2010 [PDF, 36 KB]
This entity has changed its legal form and has been renamed Goldman Sachs AG.
Goldman Sachs Europe - European Policy for Managing Conflicts of Interest in Connection with Investment Research