Regulatory Disclosures

Special Notice to Clients Regarding SEC Emergency Order Temporarily Banning Short Sales in Financial Stocks [PDF, 10 KB]

Client Communications Regarding Buy-Ins on Short Sales [PDF, 10 KB]

Regulation NMS - Goldman, Sachs & Co
Goldman, Sachs & Co. Policy Statement Regarding Compliance with Regulation NMS’s Order Protection Rule [PDF, 88 KB] - Goldman, Sachs & Co.

Special Notice - Goldman, Sachs & Co
A Special Notice Regarding the Handling of Nasdaq Pre-Open Market Orders [PDF, 15 KB] - Goldman, Sachs & Co
A Special Notice Regarding NYSE Hybrid Market Procedures [PDF, 9 KB] - Goldman, Sachs & Co
A Special Notice Regarding Order Handling Practices for Exchange-Listed Options in the U.S. [PDF, 50 KB] - Goldman, Sachs & Co

SEC Required Disclosures - Goldman, Sachs & Co
Disclosure of SEC-Required Order Execution Information - Goldman, Sachs & Co
Disclosure of SEC-Required Order Routing Information - Goldman, Sachs & Co

SEC Required Disclosures - Goldman Sachs Execution & Clearing, L.P.
Disclosure of SEC-Required Order Routing Information - Goldman Sachs Execution & Clearing, L.P.
Disclosure of SEC-Required Order Execution Information - Goldman Sachs Execution & Clearing, L.P.

Disclosures Required by SEC settlement - Auction Rate Securities
Important Disclosures and Considerations for Investors in Auction Rate Securities [PDF, 81 KB]

A Special Notice Regarding the Handling of Nasdaq Pre-Open Market Orders [PDF, 15 KB] - Goldman, Sachs & Co
SEC Rule 605 (Formerly 11Ac1-5) - Goldman, Sachs & Co
SEC Rule 606 (Formerly 11Ac1-6) - Goldman, Sachs & Co
SEC Rule 606 (Formerly 11Ac1-6) - Goldman Sachs Execution & Clearing, L.P.
SEC Rule 605 (Formerly 11Ac1-5) - Goldman Sachs Execution & Clearing, L.P.

Disclosure of Intent to Bid by Issuer/Conduit Borrowers with Respect to Auction Securities

European Disclosures
Markets in Financial Instruments Directive
Guidelines for Disclosure and Transparency in Private Equity - United Kingdom [PDF, 16 KB]