Defendant Name: Goldman, Sachs & Co.

Defendant Type: Subsidiary of Public Company

Document Reference: 2015-133

Document Details

Legal Case Name In the Matter of Goldman, Sachs & Co.
Document Name SEC Charges Goldman Sachs With Violating Market Access Rule
Document Date 30-Jun-2015
Document Format Administrative Proceeding
File Number 3-16665
Allegation Type Broker Dealer
Document Summary On June 30, 2015, the SEC announced that it "charged Goldman, Sachs & Co. with violating the market access rule in connection with a trading incident that resulted in erroneous executions of options contracts."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order

Related Documents:

34-75331 30-Jun-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On June 30, 2015, the SEC instituted settle administrative and cease-and-desist proceedings against Goldman, Sachs & Co ("GSCO"). According to the SEC: "This proceeding arises out of GSCO's violations of the market access rule and an event that disrupted trading in the options markets on August 20, 2013."