# EDGAR Filing Document

**Accession Number:** 0000769993
**File Stem:** 0000769993-23-000009
**Filing Date:** 2023-1
**Character Count:** 149811
**Document Hash:** 5ae7b6cf54a08f8cfa401ed32b63ebcd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000769993-23-000009.hdr.sgml**: 20230119

**ACCESSION NUMBER**: 0000769993-23-000009

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230113

**DATE AS OF CHANGE**: 20230119

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GOLDMAN SACHS & CO. LLC
- **CENTRAL INDEX KEY:** 0000769993
- **IRS NUMBER:** 135108880
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01181
- **FILM NUMBER:** 23537660

**BUSINESS ADDRESS:**
- **STREET 1:** 200 WEST STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10282
- **BUSINESS PHONE:** 2129021000

**MAIL ADDRESS:**
- **STREET 1:** 200 WEST STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10282

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GOLDMAN SACHS & CO
- **DATE OF NAME CHANGE:** 19931102

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000769993

**Filer CCC:** XXXXXXXX

**Contact Name:** Crystal Orgill

**Contact Phone:** 8018841533

**Contact Email:** crystal.orgill@gs.com

**Notification Emails:** jamison.yardley@gs.com, divya.bosco@gs.com, Crystal.Orgill@gs.com, evelyn.kamurasi@gs.com, jaron.anderson@gs.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** GOLDMAN SACHS & CO. LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 361

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 13-5108880

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00183-00

- **Municipal Advisor:** SEC File No: 867-01181

- **Broker-Dealer:** SEC File No: 008-00129, CRD No: 361

- **SEC-Registered Investment Adviser:** SEC File No: 801-16048, CRD No: 361

- **Other:** Description: National Futures Association, ID: 0002014

**Additional Registrations:**

- **Depository Trust & Clearing Corporation:** FOR8UP27PHTHYVLBNG30

- **IRS FACTA:** DTLCMF.00000.SP.840

**E. Principal Office and Place of Business:** 200 WEST STREET, NEW YORK, NY, 10282

**Telephone Number:** 2129021000

**Additional Offices of Employment:**

- **Office #1 (Add):** 71 SOUTH WACKER DRIVE, SUITE 500, CHICAGO, IL, 60606 | Phone: 1-312-655-4600

- **Office #2 (Add):** 609 Main Street, Suite 2100, HOUSTON, TX, 77002 | Phone: 1-713-654-8400

- **Office #3 (Add):** 2121 AVENUE OF THE STARS, SUITE # 2600, LOS ANGELES, CA, 90067 | Phone: 1-310-407-5700

- **Office #4 (Add):** 555 CALIFORNIA STREET, 45TH FLOOR, SAN FRANCISCO, CA, 94104 | Phone: 1-415-393-7500

- **Office #5 (Add):** 719 2ND AVENUE, SUITE 1300, SEATTLE, WA, 98104 | Phone: 1-206-613-5500

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.gs.com

**G. Chief Compliance Officer (CCO):**

**Name:** JOHN MAURICE O'CONNELL

**Address:** 200 WEST STREET, NEW YORK, NY, 10282

**Phone Number:** 212-902-1000

**Email:** john.oconnell@gs.com

**H. Business Affiliates:**

- **Name:** THE GOLDMAN SACHS GROUP, INC.

  - **Issuing Agency:** Federal Reserve Board; Federal Deposit Insurance Corporation; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** 

- **Name:** GOLDMAN SACHS (UK) L.L.C.

- **Name:** GOLDMAN SACHS GROUP UK LIMITED

- **Name:** GOLDMAN SACHS GROUP HOLDINGS (U.K.) LIMITED

- **Name:** GOLDMAN SACHS INTERNATIONAL BANK

  - **Issuing Agency:** Financial Conduct Authority; Prudential Regulation Authority;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** X0

- **Name:** GOLDMAN SACHS INTERNATIONAL

  - **Issuing Agency:** Financial Conduct Authority; Prudential Regulation Authority;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** X0

- **Name:** GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

  - **Issuing Agency:** Financial Conduct Authority;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** X0

- **Name:** GOLDMAN SACHS (JAPAN) LTD.

- **Name:** GOLDMAN SACHS JAPAN CO., LTD.

  - **Issuing Agency:** Financial Services Agency;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** M0

- **Name:** J. ARON & COMPANY LLC

  - **Issuing Agency:** Commodity Futures Trading Commission;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** 

- **Name:** GOLDMAN SACHS ASSET MANAGEMENT, L.P.

  - **Issuing Agency:** Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** 

- **Name:** GOLDMAN SACHS HOLDINGS (HONG KONG) LIMITED

- **Name:** J. ARON & COMPANY (SINGAPORE) PTE.

  - **Issuing Agency:** Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** 

- **Name:** GS LENDING PARTNERS HOLDINGS LLC

- **Name:** GOLDMAN SACHS LENDING PARTNERS LLC

- **Name:** GOLDMAN SACHS MORTGAGE COMPANY

  - **Issuing Agency:** Housing and Urban Development; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** 

- **Name:** GS FINANCIAL SERVICES II, LLC

- **Name:** GS FUNDING EUROPE I LTD.

- **Name:** GOLDMAN SACHS HOLDINGS ANZ PTY LIMITED

- **Name:** GOLDMAN SACHS AUSTRALIA PTY LTD

  - **Issuing Agency:** Australian Securities & Investments Commission;  Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** C3

- **Name:** GS FUND HOLDINGS, L.L.C.

- **Name:** SPECIAL SITUATIONS INVESTING GROUP II, LLC

- **Name:** GOLDMAN SACHS BANK USA

  - **Issuing Agency:** New York State Department of Financial Services; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** NY

- **Name:** GOLDMAN SACHS HOLDINGS (SINGAPORE) PTE. LTD.

- **Name:** BROAD STREET PRINCIPAL INVESTMENTS, L.L.C.

- **Name:** BROAD STREET CREDIT HOLDINGS LLC

- **Name:** MTGLQ INVESTORS, L.P.

- **Name:** BROAD STREET PRINCIPAL INVESTMENTS SUPERHOLDCO LLC

- **Name:** GSAM HOLDINGS LLC

- **Name:** GOLDMAN SACHS (ASIA) CORPORATE HOLDINGS L.L.C.

- **Name:** GOLDMAN SACHS FINANCIAL MARKETS PTY LTD

- **Name:** GS FUNDING EUROPE V LIMITED

- **Name:** GSSG HOLDINGS LLC

- **Name:** Goldman Sachs Funding LLC

- **Name:** ELQ Investors VIII Ltd

- **Name:** Goldman Sachs Holdings (Asia Pacific) Limited

- **Name:** Special Situations Investing Group III, Inc.

- **Name:** GS Asian Venture (Delaware) L.L.C.

- **Name:** Asia Investing Holdings Pte. Ltd.

- **Name:** Mercer investments (Singapore) PTE. Ltd.

- **Name:** ALQ Holdings (Del) LLC

- **Name:** GLQ Holdings (UK) Ltd

- **Name:** GLQ International Holdings Ltd

- **Name:** Goldman Sachs Bank Europe SE

  - **Issuing Agency:** BaFin

  - **Jurisdiction:** 2M

- **Name:** Goldman Sachs PSI Global Holdings, LLC

- **Name:** GS European Funding S.a r.l.

- **Name:** GS Funding Europe VI Ltd

- **Name:** ELQ Investors VI Ltd

- **Name:** ELQ Lux Holding S.A R.L.

- **Name:** GLQ International Partners LP

- **Name:** Goldman Sachs UK Funding Limited

- **Name:** BROAD STREET BRAZIL LTD.

- **Name:** BROAD STREET CREDIT INVESTMENTS EUROPE S.A R.L.

- **Name:** BROAD STREET EQUITY INVESTMENTS EUROPE LTD

- **Name:** BROAD STREET PRINCIPAL CREDIT STRATEGIES, L.P.

- **Name:** BSCH III DESIGNATED ACTIVITY COMPANY

- **Name:** ELQ INVESTORS II LTD

- **Name:** GLQ BROAD STREET HOLDINGS LTD.

- **Name:** GLQC II DESIGNATED ACTIVITY COMPANY

- **Name:** GOLDMAN SACHS ASIA STRATEGIC II PTE. LTD.

- **Name:** GOLDMAN SACHS ASIA STRATEGIC PTE. LTD.

- **Name:** GOLDMAN SACHS ASSET MANAGEMENT CO., LTD.

  - **Issuing Agency:** FINANCIAL SERVICES AGENCY; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

  - **Jurisdiction:** M0

- **Name:** GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL HOLDINGS L.L.C.

- **Name:** GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL HOLDINGS LTD

- **Name:** GOLDMAN SACHS SPECIALTY LENDING GROUP, L.P.

- **Name:** GSAMI Holdings I Ltd

- **Name:** GSAMI HOLDINGS II LTD

- **Name:** GLQL S.A R.L.

- **Name:** GOLDMAN SACHS ICBC WEALTH MANAGEMENT CO., LTD

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NY

**D. Date of Organization:** 01-03-1927

**E. Is the applicant a public reporting company?:** Yes

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 13185

**B. Municipal Advisory Activities - Employees:** 72

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 72

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** Yes

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 1

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC, Advice Use Of MD

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Swap Dealer, Security-based swap dealer, Commodity pool operator, Commodity trading advisor, Futures commission merchant, Banking/Thrift institution, Trust Company, Sponsor or syndicator of limited partnerships, Investment Adviser, Commodity pool operator, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Commodity pool operator, Commodity trading advisor, Sponsor or syndicator of limited partnerships, Investment Adviser, Commodity pool operator, Commodity trading advisor, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Insurance company or agency, Insurance company or agency, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Swap Dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Commodity pool operator, Commodity trading advisor, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Swap Dealer, Banking/Thrift institution, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Trust Company, Investment Adviser, Commodity pool operator, Commodity trading advisor, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Swap Dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Banking/Thrift institution, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Insurance company or agency, Investment Company, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Company, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Adviser, Investment Adviser, Sponsor or syndicator of limited partnerships, Investment Company, Investment Company, Investment Company, Investment Company, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Investment Adviser, Commodity pool operator, Commodity trading advisor, Investment Adviser, Insurance company or agency, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser, Investment Adviser, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Sponsor or syndicator of limited partnerships, Investment Adviser

**Total Associated Persons:** 151

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** Yes

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** Yes

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** Yes

- **Applicant/Advisory Affiliate Charged with Felony?:** Yes

- **Organization Convicted/Pled Guilty to Felony?:** Yes

- **Organization Charged with Felony?:** Yes

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** Yes

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** Yes

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** Yes

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** Yes

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                          | Title/Status                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER                   | 04-28-2017      | E - 75% or more   | Yes               | 13-4019460   |  |
| DAVID MICHAEL SOLOMON         | MANAGER                          | 04-28-2017      | NA - less than 5% | Yes               |  | 1616414      |
| JOHN MAURICE O'CONNELL        | CHIEF COMPLIANCE OFFICER         | 11-15-2018      | NA - less than 5% | No                |  | 1335506      |
| BRIAN RICHARD DOYLE           | CHIEF FINANCIAL OFFICER          | 11-04-2019      | NA - less than 5% | No                |  | 6003685      |
| JOHN EDWARD WALDRON           | CHIEF EXECUTIVE OFFICER, MANAGER | 12-17-2018      | NA - less than 5% | Yes               |  | 2569337      |
| KATHRYN HELEN RUEMMLER        | CHIEF LEGAL OFFICER              | 03-31-2021      | NA - less than 5% | No                |  | 7250761      |
| DENIS PATRICK COLEMAN III     | MANAGER                          | 01-01-2022      | NA - less than 5% | Yes               |  | 2782373      |
| ERICKA T HORAN                | MANAGING DIRECTOR, MANAGER       | 05-18-2022      | NA - less than 5% | Yes               |  | 4902526      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                          | Title/Status                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER                   | 04-28-2017      | E - 75% or more   | Yes               | 13-4019460   |  |
|  | Direct      |  | DAVID MICHAEL SOLOMON         | MANAGER                          | 04-28-2017      | NA - less than 5% | Yes               |  | 1616414      |
|  | Direct      |  | JOHN MAURICE O'CONNELL        | CHIEF COMPLIANCE OFFICER         | 11-15-2018      | NA - less than 5% | No                |  | 1335506      |
|  | Direct      |  | BRIAN RICHARD DOYLE           | CHIEF FINANCIAL OFFICER          | 11-04-2019      | NA - less than 5% | No                |  | 6003685      |
|  | Direct      |  | JOHN EDWARD WALDRON           | CHIEF EXECUTIVE OFFICER, MANAGER | 12-17-2018      | NA - less than 5% | Yes               |  | 2569337      |
|  | Direct      |  | KATHRYN HELEN RUEMMLER        | CHIEF LEGAL OFFICER              | 03-31-2021      | NA - less than 5% | No                |  | 7250761      |
|  | Direct      |  | DENIS PATRICK COLEMAN III     | MANAGER                          | 01-01-2022      | NA - less than 5% | Yes               |  | 2782373      |
|  | Direct      |  | ERICKA T HORAN                | MANAGING DIRECTOR, MANAGER       | 05-18-2022      | NA - less than 5% | Yes               |  | 4902526      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1706941

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1701795

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1701169

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1691191

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1691526

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1684048

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1691192

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1682653

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1679917

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1679237

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1663602

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1663601

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1661012

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1653947

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1653357

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1651028

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1651022

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1651017

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1650268

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1641244

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1639393

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1638242

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1636603

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1632467

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1631806

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1630993

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1630823

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1630393

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1629669

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1629490

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1628920

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1628249

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1628179

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1625434

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1620974

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1610304

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1608675

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1607252

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1606294

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1606247

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1606244

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1605776

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1600171

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1592388

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1592385

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1592366

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1589895

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1589894

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1589893

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1589891

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1587471

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1587470

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1587469

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1578762

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1573082

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1573079

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1570440

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1570439

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1570438

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1569959

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1567172

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1565186

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1565185

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1561940

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1559618

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1557233

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1550319

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548481

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548480

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548478

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548477

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548475

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1548472

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1544689

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1542832

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1541961

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1541937

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1537314

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1537313

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1537312

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1537311

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1535415

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1530250

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1530249

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1527912

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1525446

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1525353

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1523657

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1520007

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519611

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519610

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519609

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519608

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519607

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519606

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519605

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519604

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1519484

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1513680

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1512499

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511443

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511264

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511263

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511261

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511259

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511258

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511257

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1511255

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1510601

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1507717

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1502496

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1478214

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1463922

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1457278

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1447852

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1437306

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1435202

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1431855

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1421948

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1421094

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1397110

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1392886

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1389294

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1376440

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1367197

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1360383

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1346223

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1346219

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1339473

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1335354

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1322019

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1316174

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1313961

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1307228

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1305157

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1304418

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1289935

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1283063

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1278770

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1276046

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1266079

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1263380

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1260637

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1248000

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1245304

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1244733

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1244732

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1244658

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1235486

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1215429

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1214960

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1214958

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1212973

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1211564

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1210691

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1210589

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1205044

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197945

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197944

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197943

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197941

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197939

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197938

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197937

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197936

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197935

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197934

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197931

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197927

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197925

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197922

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197921

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197920

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197919

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197918

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197917

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197916

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197915

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197914

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197913

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197912

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197911

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197909

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197908

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197908

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197907

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197906

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197903

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197902

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197901

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197900

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197898

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1197896

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1189552

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1181801

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1180899

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1176517

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1176153

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1175175

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1175074

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1168144

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1164608

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1164027

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1163973

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1157526

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1147835

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1135516

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1134408

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1120336

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1113220

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1111943

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1110601

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1110105

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1095211

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1083395

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1017238

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 990325

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 968109

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 883564

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 833034

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 737029

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 718759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 702438

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684893

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684890

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684763

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684753

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684745

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684730

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684728

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684706

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684704

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684690

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684687

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684685

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684684

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684683

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684682

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684681

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 684679

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 683161

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683148

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683126

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683114

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683107

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683096

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 683015

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 682961

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 684691

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 682566

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 681549

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 681512

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 681504

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 681492

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 681465

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 681449

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 669728

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 322393

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 256998

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 242881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 232241

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 229970

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 228820

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 228812

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 228801

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 182184

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 150205

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 137459

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110711

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110709

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110706

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110705

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110704

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110703

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110702

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110701

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110700

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110699

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110698

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110697

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110695

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110691

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110690

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 110688

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1447836

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1333969

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1279144

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1207507

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1193177

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 41924

  - **Filed On (AP):** Form ADV/BD/U4 for REDI GLOBAL TECHNOLOGIES LLC

  - **Disclosure Number:** 1191091

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1706267

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1698850

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1688637

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1671316

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1667265

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1664844

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1651843

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1637956

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1620473

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1619774

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1602647

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1600173

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1553138

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1525283

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1517176

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1516761

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1508645

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1507022

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1503864

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1502488

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1497183

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1496139

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1496074

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1478504

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1478493

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1450046

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1447845

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1446357

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1431121

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1384098

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1378532

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1376675

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1344306

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1343890

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1337577

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1324747

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1317710

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1317502

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1310619

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1299422

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1298225

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1282996

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1271230

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1244979

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1244871

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1232080

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1219869

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1218758

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1168166

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1148903

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1148773

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1130169

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1127484

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1116587

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1086547

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1073363

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1045747

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1044130

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1040975

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1027107

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1019301

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1013208

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 1012067

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 979334

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 869628

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 787476

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 720817

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 690486

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 685903

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 608764

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 608763

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591959

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591957

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591954

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591953

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591950

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591949

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591943

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591940

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591931

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591928

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591923

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591920

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591916

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591914

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591912

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591911

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591909

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591908

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591906

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591900

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591898

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591897

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591895

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591894

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591892

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591891

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591890

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 591889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 322334

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 322313

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 322252

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 322214

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 319160

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 285001

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 278540

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 240313

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 229442

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 229442

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 203281

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 150192

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 146094

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 146092

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 137406

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110434

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110431

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110430

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110429

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110428

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110427

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110426

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110425

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110424

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110423

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110422

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110421

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110420

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110419

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110418

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110417

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110416

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110415

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110414

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110413

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS EXECUTION & CLEARING, L.P.

  - **Disclosure Number:** 110406

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1581311

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1581311

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

  - **Disclosure Number:** 1712383

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1712382

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1712381

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1710211

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN, SACHS & CO.

- **CRD Number:** 361

- **Disclosure Number:** 1707555

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1714036

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1716262

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1717554

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1724299

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1726158

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1729719

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1734104

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1734105

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1734107

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1734108

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1734110

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs International

  - **Disclosure Number:** 1734112

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs International

  - **Disclosure Number:** 1734114

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1711713

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1723322

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1734087

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1734088

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1734089

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1739197

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1818621

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1818622

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2, 9-D4, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1846017

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1846017

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1856467

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1818621

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1859639

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1862186

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1868848

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1873218

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1875181

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1875601

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1882468

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1886053

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1891791

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D4, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1897440

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1897440

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1901548

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman, Sachs & Co.

  - **Disclosure Number:** 1907118

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1915199

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 3466

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs Execution & Clearing, L.P.

  - **Disclosure Number:** 1922714

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman, Sachs & Co.

- **CRD Number:** 361

- **Disclosure Number:** 1929672

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1941617

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1941756

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1946884

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1946885

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1954930

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1956889

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1962381

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1961063

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1967939

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1967938

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1967938

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1976967

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 1978013

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1980138

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1980140

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1980140

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 1966983

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2007759

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2024336

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2029275

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2029276

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2034829

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2050401

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2056875

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2054562

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2056781

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2073063

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2093142

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094895

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094896

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094897

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094898

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094899

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094892

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094893

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for Goldman Sachs & Co. LLC

  - **Disclosure Number:** 2094894

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2107437

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2111044

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2125303

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2125302

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2140491

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2118900

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2118900

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2122304

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2130312

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2132435

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2136751

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2136752

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS INTERNATIONAL

  - **Disclosure Number:** 2136752

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2160488

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2160487

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2160486

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-D1, 9-D2, 9-D4)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2198941

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2198938

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2198016

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2198013

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2197898

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2197896

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2197884

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2197741

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2196513

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2196512

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2196511

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2196510

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2193636

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2193625

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2193582

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203710

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203711

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203712

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203713

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203714

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2203709

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** —

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 361

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

  - **Disclosure Number:** 2218688

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for GOLDMAN SACHS & CO. LLC

- **CRD Number:** 361

- **Disclosure Number:** 2235974

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** —

  - **CRD Number:** 107738

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS ASSET MANAGEMENT, L.P.

  - **Disclosure Number:** 2247412

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 000000000

  - **Filed On (AP):** Form ADV/BD/U4 for GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.

  - **Disclosure Number:** 2247414

### Execution Page

**Signature:** /s/ John M O'Connell

**Signer Name:** John Maurice O'Connell

**Title:** Chief Compliance Officer

**Date:** 01-10-2023

**CRD Number:** 361