Defendant Name: Goldman Sachs Execution & Clearing, L.P.

Defendant Type: Subsidiary of Public Company
Public Company Parent: The Goldman Sachs Group, Inc
SIC Code: 6712
CUSIP: 38141G10

Initial Case Details

Legal Case Name In the Matter of Goldman Sachs Execution & Clearing, L.P.
First Document Date 04-May-2010
Initial Filing Format Administrative Action
File Number 3-13877
Allegation Type Broker Dealer

Violations Alleged

Other
• Rule 204T Regulation SHO

Resolutions

First Resolution Date 04-May-2010

Related Documents:

34-62025 04-May-2010 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) And 21C of the Securities Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On May 4, 2010, the SEC issued a settled administrative proceeding against Goldman Sachs Execution & Clearing, L.P. According to the SEC: "Goldman Sachs Execution & Clearing, L.P. violated Rule 204T by failing to timely close out fail to deliver positions."