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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 AG for 2012 [PDF, 85 KB] 

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