Defendant Name: The Goldman Sachs Group, Inc

Defendant Type: Public Company
SIC Code: 6211
CUSIP: 38141G10

Initial Case Details

Legal Case Name In the Matter of The Goldman Sachs Group, Inc.
First Document Date 25-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22185
Allegation Type Other

Violations Alleged

Other
• Section 16(a) Exchange Act; Rule 16a-3 Exchange Act

Resolutions

First Resolution Date 25-Sep-2024
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-101169 25-Sep-2024 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order
On September 25, 2024, the SEC instituted settled cease-and-desist proceedings against The Goldman Sachs Group, Inc., stating: "These proceedings arise out of violations of the beneficial ownership reporting requirements of the federal securities laws."
2024-148_3-22185 25-Sep-2024 Press Release--Administrative Proceeding
SEC Levies More Than $3.8 Million in Penalties in Sweep of Late Beneficial Ownership and Insider Transaction Reports
On September 25, 2024, the SEC "announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock."