Defendant Name: Goldman Sachs & Co. LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: The Goldman Sachs Group, Inc
SIC Code: 6211
CUSIP: 38141G10

Initial Case Details

Legal Case Name In the Matter of Goldman Sachs & Co. LLC
First Document Date 22-Sep-2023
Initial Filing Format Administrative Action
File Number 3-21700
Allegation Type Broker Dealer

Violations Alleged

Securities Act
• Sec 17(a)(1)
Other
• Rules 17a-4(j), 17a-25 Exchange Act

Resolutions

First Resolution Date 22-Sep-2023
Headline Total Penalty and Disgorgement $6,000,000

Related Documents:

34-98479 22-Sep-2023 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On September 22, 2023, the SEC instituted settled administrative and cease-and-desist proceedings against Goldman Sachs & Co. LLC, stating: "These proceedings arise out of Respondent’s failure to submit to the Commission complete and accurate data in response to Commission staff electronic blue sheets (“EBS”) requests, resulting in the reporting of EBS that was incomplete or deficient."
2023-191 22-Sep-2023 Press Release--Administrative Proceeding
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
On September 22, 2023, the SEC "announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. Goldman agreed to pay a $6 million penalty to resolve the SEC's charges."