Disclosure of SEC-Required Order Execution Information
If you wish to download Goldman Sachs & Co. LLC (GSCO) Disclosure of SEC-Required Order Execution Information use the links below:
Rule 605 (formerly known as Rule 11Ac1-5) eligible activity
August 2024
July 2024
June 2024
May 2024
April 2024
March 2024
February 2024
January 2024
December 2023
November 2023
October 2023
September 2023
August 2023
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April 2023
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February 2023
January 2023
December 2022
November 2022
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August 2022
July 2022
June 2022
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April 2022
March 2022
February 2022
January 2022
December 2021
November 2021
October 2021
September 2021
August 2021
July 2021
June 2021
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April 2021
March 2021
February 2021
January 2021
December 2020
November 2020
October 2020
September 2020
August 2020
July 2020
June 2020
May 2020
April 2020
March 2020
February 2020
January 2020
December 2019
November 2019
October 2019
September 2019
August 2019
July 2019
June 2019
May 2019
April 2019
March 2019
February 2019
January 2019
If you wish to download Goldman Sachs & Co. LLC SIGMA X2 (SGMT) Disclosure of SEC-Required Order Execution Information use the links below:
Rule 605 (formerly known as Rule 11Ac1-5) eligible activity
August 2024*
July 2024*
June 2024*
May 2024*
April 2024*
March 2024
February 2024*
January 2024
December 2023
November 2023
October 2023
September 2023
August 2023
July 2023
June 2023
May 2023
April 2023
March 2023
February 2023
January 2023
December 2022
November 2022
October 2022
September 2022
August 2022
July 2022
June 2022
May 2022
April 2022
March 2022
February 2022
January 2022
December 2021
November 2021
October 2021
September 2021
August 2021
July 2021
June 2021
May 2021
April 2021
March 2021
February 2021
January 2021
December 2020
November 2020
October 2020
September 2020
August 2020
July 2020
June 2020
May 2020
April 2020
March 2020
February 2020
January 2020
December 2019
November 2019
October 2019
September 2019
August 2019
July 2019
June 2019
May 2019
April 2019
March 2019
February 2019
January 2019
(zip archives of ASCII pipe-delimited data files)
*We are examining whether SGMT’s Rule 605 Reports for February, April, May, June, and July 2024 may be missing a small number of covered orders comprising a de minimis percentage of covered volume. If required, we will publish an updated report.
Important Note
Pursuant to the Securities and Exchange Commission (SEC) Rule 605, Goldman Sachs & Co. LLC (“the Firm”) publishes statistical information, on a monthly basis, regarding its execution of market and limit orders in those Regulation NMS securities in which the Firm is a designated market maker as well as its execution of market and limit orders in Regulation NMS securities that are routed to its alternative trading system, SIGMA X2, for execution.
SEC Rule 605 requires securities exchanges, alternative trading systems, market makers and other market centers to publicly disclose statistics in a number of standardized categories based on certain assumptions about order execution and order routing practices. You should note that based on the SEC’s requirements, these statistics only capture a minority of the Firm’s order flow.
The required statistics are intended to provide a baseline to facilitate comparisons of execution quality among and between market makers, alternative trading systems, and other trading venues. However, they do not provide a complete comparison across trading venues, because each venue’s statistics reflect only the types of orders it has received which are in turn based on its customers’ or users’ particular objectives. Accordingly, the statistics do not create a reliable basis on which to assess whether the Firm or any other trading venue has satisfied its duty of best execution. From time to time the Firm may determine it necessary to update its monthly Rule 605 data. All reports, original and amended, are available upon request.
The SEC has made it clear that investors should take into account a number of factors in evaluating the quality of their order executions and in making order routing decisions. These include the size of the order, whether the dealer commits its capital to enhance liquidity for the customer, market conditions, customer objectives, technological capabilities, and other services provided by the dealer.
We have made every attempt to prepare these statistics in compliance with the SEC’s rules. However, these statistics have not been audited and may contain errors. Accordingly, any decision about whether to open an account or to direct orders to the Firm should not be based solely on these statistics, but on an evaluation of the full range of services that we provide.
Please visit the SEC Web site for more information on the Disclosure of SEC-Required Order Execution and Routing Practices, Regulation NMS frequently asked interpretative questions ( Staff Legal Bulletin No. 12R ) and the format of the monthly reports ( Text of Joint-SRO Plan ).
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