Defendant Name: Goldman Sachs & Co. LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 2023-191

Document Details

Legal Case Name In the Matter of Goldman Sachs & Co. LLC
Document Name Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
Document Date 22-Sep-2023
Document Format Administrative Proceeding
File Number 3-21700
Allegation Type Broker Dealer
Document Summary 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."

Disgorgement & Penalty Information

Resolutions
Censured
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:

Civil Penalty

Individual:     $6,000,000.00 Shared:    

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."