# EDGAR Filing Document

**Accession Number:** 0001886709
**File Stem:** 0001886709-23-000003
**Filing Date:** 2023-1
**Character Count:** 181886
**Document Hash:** f9d1b49d339f24be6f4538236e92dca7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001886709-23-000003.hdr.sgml**: 20230118

**ACCESSION NUMBER**: 0001886709-23-000003

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 3

**FILED AS OF DATE**: 20230113

**DATE AS OF CHANGE**: 20230118

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GOLDMAN SACHS BANK USA
- **CENTRAL INDEX KEY:** 0001886709
- **IRS NUMBER:** 133571598
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00128
- **FILM NUMBER:** 23533955

**BUSINESS ADDRESS:**
- **STREET 1:** 200 WEST STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10282
- **BUSINESS PHONE:** (212) 902-1000

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

### Attached PDF Documents

**Attachment 1:** `gstr7r.pdf`

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 1

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

# DEFINED TERMS

Words that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration, Compliance, Legal or Information Center ("RCLI") departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 2

With some exceptions, which are described below in the Regulatory and Financial Questions sections, if any question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

# DISCIPLINARY INFORMATION SECTION

Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law.

Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or domestic futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

Financial Disclosures

It is not necessary to disclose arbitration or CFTC reparations matters unless the applicant or registrant has failed to pay an award issued in a futures-related arbitration or an order entered in a

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 3

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

reparations matter.

Only adversary actions that a bankruptcy trustee or a trustee's attorney files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

## ADDITIONAL DOCUMENTS

For any matter that caused a 'Yes' answer, a written explanation detailing the events and conduct must be provided. That explanation can be entered on the Matter pages by giving it a name, e.g., the docket number of the case, and describing it in the text box. Alternatively, the explanation can be sent in hard copy format to NFA.

In addition to the required explanation, other documents about the matter must be sent to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, the person must provide a written explanation for their unavailability.

Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 4

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

## Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

**10% OR MORE INTEREST:** direct or indirect ownership of 10% or more of an applicant's or registrant's stock; entitlement to vote or empowered to sell 10% or more of an applicant's or registrant's voting securities; contribution of 10% or more of an applicant's or registrant's capital; or entitlement to 10% or more of an applicant's or registrant's net profits.

**ADJUDICATION:** in a criminal case, a determination by the court that the defendant is guilty or not guilty.

**ADVERSARY ACTION:** a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

**ALIAS:** another name utilized by an individual or previously used by an entity.

**CHARGE:** a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

**DBA:** abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

### DESIGNATED SUPERVISOR:

Solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

**ENJOINED:** subject to an injunction.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 5

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

**ENTITY:** any person other than an individual.

**FELONY:** any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

**FINANCIAL SERVICES INDUSTRY:** the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

**FOUND:** subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

## INTERNAL REVENUE CODE:

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

## INVESTMENT RELATED STATUTES:

- • The Commodity Exchange Act
- • The Securities Act of 1933
- • The Securities Exchange Act of 1934
- • The Public Utility Holding Company Act of 1935
- • The Trust Indenture Act of 1939
- • The Investment Advisers Act of 1940
- • The Investment Company Act of 1940
- • The Securities Investors Protection Act of 1970
- • The Foreign Corrupt Practices Act of 1977
- • Chapter 96 of Title 18 of the United States Code
- • Any similar statute of a State or foreign jurisdiction
- • Any rule, regulation or order under any such statutes; and
- • The rules of the Municipal Securities Rulemaking Board

**MISDEMEANOR:** any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 6

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

**OTHER NAME:** For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

**PERSON:** an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

**PRINCIPAL:** an individual who is:

- a sole proprietor of a sole proprietorship; or
- a general partner of a partnership; or
- a director, president, chief executive officer, chief operating officer or chief financial officer of a corporation, limited liability company or limited partnership; or
- in charge of a business unit, division or function of a corporation, limited liability company or limited partnership if the unit, division or function is subject to regulation by the Commission; or
- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or

an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of a registrant's stock; or
- is entitled to vote 10% or more of any class of a registrant's voting securities; or
- has the power to sell or direct the sale of 10% or more of any class of a registrant's voting securities; or
- has contributed 10% or more of a registrant's capital; or
- is entitled to receive 10% or more of a registrant's net profits; or
- has the power to exercise a controlling influence over a registrant's activities that are subject to regulation by the Commission; or

an entity that:

- is a general partner of a registrant; or
- is the direct owner of 10% or more of any class of a registrant's securities; or
- has directly contributed 10% or more of a registrant's capital unless such capital contribution consists of subordinated debt contributed by:
  - an unaffiliated bank insured by the Federal Deposit Insurance Corporation; or

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 7

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

- a United States branch or agency of an unaffiliated foreign bank that is licensed under the laws of the United States and regulated, supervised and examined by United States government authorities having regulatory responsibility for such financial institutions; or

- an insurance company subject to regulation by any State.

**SELF-REGULATORY ORGANIZATION (SRO):** a private, non-governmental organization authorized to set and enforce standards or conduct for an industry. NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

# **UNITED STATES CRIMINAL CODE:**

| Section 152: | Concealment of assets, making false claims or bribery in connection with a bankruptcy |
| --- | --- |
| Section 1341, 1342 or 1343: | Mail fraud |
| Chapter 25: | Counterfeiting and forgery |
| Chapter 47: | Fraud or false statements in a matter within the jurisdiction of a United States department or agency |
| Chapter 95 or 96: | Racketeering and Racketeering Influence |

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 8

# Privacy Act and Paperwork Reduction Act Notice

The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2c, 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act [7 U.S.C. §§ 6f, 6k, 6n, 6s, 12a and 23]. Under Section 2c, it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act [7 U.S.C. §6d], it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act [7 U.S.C. §6m], it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act [7 U.S.C. §6s], it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act [7 U.S.C. §23] and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration.

The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for initiating an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 9

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

With the exception of the social security number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number is voluntary. Disclosure of the Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996. Under the Debt Collection Improvement Act, a social security number or a taxpayer identifying number furnished to the CFTC as part of the registration process can be used for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. The furnishing of a social security number or Federal employer identification number, however, assists the CFTC and NFA in identifying individuals and firms and therefore expedites the processing of those forms.

The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA.

With the exception of the fingerprint card, any information contained in the Personal Information Section and any information contained in Matter Information pages related to the Disciplinary Information Sections on Form 8-R and on Form 8-T or Item 7 on Form 8-W, the Forms 7-R, 7-W, 8-R and 8-T are considered by the CFTC to be public records and will be available for inspection by any person. Copies will be maintained by National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615. Further, the CFTC or NFA may disclose the fingerprint card and any other information described above to third parties pursuant to routine uses which the CFTC has published in the Federal Register or as otherwise authorized under the Privacy Act, [5 U.S.C. §552a], and the Commodity Exchange Act. Disclosure of such information may be made by the CFTC as follows: (1) in connection with administrative proceedings or matters in litigation; (2) in connection with investigations; (3) where the information is furnished to regulatory, self-regulatory and law enforcement or other governmental agencies to assist them in meeting responsibilities assigned to them by law or made available to any member of Congress who is acting in his or her capacity as a member of Congress; (4) where disclosure is required under the Freedom of Information Act [5 U.S.C. §552]; (5) in connection with an employer's hiring or retention of an employee; (6) in connection with the verification of information submitted for sponsorship purposes; (7) in other circumstances in which the withholding of such information appears unwarranted; and (8) in connection with legally required or authorized reports. Disclosure may be made by NFA in accordance with rules approved by the CFTC.

If an individual believes that the placing in the CFTC's or NFA's public files of any of the information contained in the Personal Information Section or in Matter Information pages related

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 10

to Disciplinary Information on Form 8-R and on Form 8-T or Item 7 on Form 8-W, or on the fingerprint card would constitute an unwarranted invasion of his personal privacy, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under the Freedom of Information Act (FOIA) [5 U.S.C. §552]. The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the subject of an FOIA request. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to an FOIA request.

Forms which have not been prepared and executed in compliance with applicable requirements may not be acceptable for filing. Acceptance of this form shall not constitute any finding that the information is true, current or complete. Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. §13 and 18 U.S.C. §1001] or grounds for disqualification from registration.

This notice is provided in accordance with the requirements of the Privacy Act [5 U.S.C. §552a(e)(3)] and summarizes some of an individual's rights under the Privacy Act [5 U.S.C. §552a] and the Freedom of Information Act [5 U.S.C. §552]. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's annual notice, published in the Federal Register, pursuant to the Privacy Act, of the existence and character of each system of records maintained by the CFTC.

You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number.

The time needed to complete and file Form 7-R, Form 3-R, Form 7-W, Form 8-R and Form 8-T and Form 8-W may vary depending upon individual circumstances. The estimated average times are:

Form 7-R

FCM 0.5 hours

SD 1.0 hours

MSP 1.0 hours

RFED 0.5 hours

IB 0.4 hours

CPO 0.4 hours

CTA 0.4 hours

FT 0.5 hours

Form 3-R 0.1 hours

Form 7-W 0.1 hours

Form 8-R 0.8 hours

Form 8-T 0.2 hours

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 11

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Form 8-W 0.1 hours.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 12

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Registration Categories

NFA MEMBER

SWAP DEALER

## Membership Information

Not applicable.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 13

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |
| Website / URL | Not provided. |
| Federal EIN | 13-3571598 |
| CRD ID | Not provided. |
| Form of Organization | OTHER |
| Location | NEW YORK, UNITED STATES |
| Other Names |  |

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 14

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 15

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Holding Company Information

Name: THE GOLDMAN SACHS GROUP, INC.

10% or more interest? YES

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 16

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Regulator Information

Non-U.S. Regulator(s) During The Past Five Years

NONE

U.S. Regulator(s)

THE FEDERAL DEPOSIT INSURANCE CORPORATION

THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 17

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

## Disciplinary Information

### Criminal Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

**THE FIRM OR SOLE PROPRIETOR MUST ANSWER "YES" TO THE QUESTIONS ON THIS PAGE EVEN IF:**

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

**THE FIRM OR SOLE PROPRIETOR MAY ANSWER "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.**

A. Has the firm or sole proprietor ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any domestic, foreign or military court? NO

B. Has the firm or sole proprietor ever pled guilty to or been convicted or found guilty of any misdemeanor in any domestic, foreign or military court which involves: NO

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the United States Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 18

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

securities?

C. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? N/A

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 19

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

## Regulatory Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

D. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been permanently or temporarily enjoined after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

E. In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person?

F. Has the firm or sole proprietor ever been debarred by any agency of the United States from contracting with the United States?

G. Has the firm or sole proprietor ever been the subject of any order issued by or a party to any agreement with a domestic or foreign regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a domestic futures exchange) that prevented or restricted the firm or sole proprietor's ability to engage in any business in the financial services industry?

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 20

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

H. Are any of the orders or other agreements described in Question G currently in effect against the firm or sole proprietor? NO

I. Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions? NO

For any "Yes" answer to the questions above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? N/A

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 21

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Financial Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

J. Has the firm or sole proprietor ever been the subject of an adversary action brought by, or on behalf of, a bankruptcy trustee? NO

For any "Yes" answer to the question above, has the firm or sole proprietor previously provided NFA or the CFTC all supplemental documentation for all matters requiring a "Yes" answer? N/A

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 22

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

LAWRENCE GIARRANTANO

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-3733

E-mail: LAWRENCE.GIARRANTANO@GS.COM

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 23

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

# Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# Compliance Contact

STEVE ELIA

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-9041

E-mail: STEVE.ELIA@GS.COM

# Chief Compliance Officer

STEVE ELIA

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-9041

E-mail: STEVE.ELIA@GS.COM

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 24

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

# Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: RYAN.LESTER@GS.COM

# Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: ROBBY.MANGROO@GS.COM

# Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 25

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Enforcement/Compliance Communication Contact

JOANNA LANE

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-5748

E-mail: JOANNA.LANE@GS.COM

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 26

**OMB Number** 3038-0072

**NFA ID** 0443648 GOLDMAN SACHS BANK USA

**Submitted By** MIGNONEJ4 JOHN MIGNONE

## Firm Certification Statement

BY FILING THIS FORM 7-R, THE APPLICANT AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S

certification that the answers and the information provided in the Form 7-R are true, complete and accurate and that in light of the circumstances under which the applicant has given them, the answers and statements in the Form 7-R are not misleading in any material respect;

certification that the person who electronically files the Form 7-R on behalf of the applicant is authorized by the applicant to file the Form 7-R and to make the certifications, representations, requests, acknowledgements, authorizations and agreements contained in this agreement;

certification that, if the applicant is an applicant for registration as an SD or MSP, the applicant undertakes that, no later than ninety (90) days following the date this Form 7-R is filed, it will be and shall remain in compliance with the requirement of Section 4s(b)(6) of the Act that, except to the extent otherwise specifically provided by rule, regulation or order, the applicant will not permit any person associated with it who is subject to a statutory disqualification to effect or be involved in effecting swaps on behalf of the applicant, if the applicant knows, or in the exercise of reasonable care should know, of the statutory disqualification. For the purpose of this certification, 'statutory disqualification' refers to the matters addressed in Sections 8a(2) and 8a(3) of the Act and 'person' means an 'associated person of a swap dealer or major swap participant' as defined in Section 1a(4) of the Act and CFTC regulations thereunder;

acknowledgement that the applicant is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 7-R;

acknowledgement that the applicant is responsible at all times for maintaining the information in the Form 7-R in a complete, accurate and current manner by electronically filing updates to the information contained therein;

acknowledgement that the applicant may not act as an FCM, RFED, IB, CPO, CTA or FT until registration has been granted, that the applicant may not act as a Forex Firm or Forex Dealer Member until approval as a Forex Firm or designation as an approved Forex Dealer Member has been granted and that the applicant may not act as a Swap Firm until approval as a Swap Firm has been granted; in the case of an IB, until registration or a temporary license has been granted; or in the case of an SD or MSP, until registration or provisional registration has been granted;

or until confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5 is granted;

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 27

authorization that NFA may conduct an investigation to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 and, if applicable, NFA membership and agreement to cooperate promptly and fully, consistent with applicable Federal law, in such investigation, which investigation may include contacting foreign regulatory and law enforcement authorities, including the submission of documents and information to NFA that NFA, in its discretion, may require in connection with the applicant's application for registration, confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5 or NFA membership;

authorization and request that any person, including but not limited to contract markets, furnish upon request to NFA or any agent acting on behalf of NFA any information requested by NFA in connection with any investigation conducted by NFA to determine the applicant's fitness for registration or for confirmation of exemption from registration as an IB, CPO and CTA pursuant to CFTC Regulation 30.5;

agreement that any person furnishing information to NFA or any agent acting on behalf of NFA in connection with the investigation so authorized is released from any and all liability of whatever nature by reason of furnishing such information to NFA or any agent acting on behalf of NFA;

agreement that, if the applicant is a foreign applicant:

subject to any applicable blocking, privacy or secrecy laws, the applicant's books and records will be available for inspection by the CFTC, the U.S. Department of Justice ("DOJ") and NFA for purposes of determining compliance with the Act, CFTC Regulations and NFA Requirements;

subject to any applicable blocking, privacy or secrecy laws, such books and records will be produced on 72 hours notice at the location in the United States stated in the Form 7-R or, in the case of an IB, CPO or CTA confirmed as exempt from registration pursuant to CFTC Regulation 30.5, at the location specified by the CFTC or DOJ, provided, however, if the applicant is applying for registration as an FCM, SD, MSP or RFED, upon specific request, such books and records will be produced on 24 hours notice except for good cause shown;

the applicant will immediately notify NFA of any changes to the location in the United States where such books and records will be produced;

except as the applicant has otherwise informed the CFTC in writing, the applicant is not subject to any blocking, privacy or secrecy laws which would interfere with or create an obstacle to full inspection of the applicant's books and records by the CFTC, DOJ and NFA;

subject to any applicable blocking, privacy or secrecy laws, the failure to provide the CFTC,

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted By MIGNONEJ4 JOHN MIGNONE

Page 28

DOJ or NFA with access to its books and records in accordance with this agreement may be grounds for enforcement and disciplinary sanctions, denial, suspension or revocation of registration, withdrawal of confirmation of exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5, and denial, suspension or termination of NFA membership; and

subject to any applicable blocking, privacy or secrecy laws, the applicant for registration shall provide to NFA copies of any audit or disciplinary report related to the applicant for registration issued by any non-U.S. regulatory authority or non-U.S. self-regulatory organization and any required notice that the applicant for registration provides to any non-U.S. regulatory authority or non-U.S. self-regulatory organization and shall provide these copies both as part of this application and thereafter immediately upon the applicant for registration's receipt of any such report or provision of any such notice;

representation that if the applicant is an applicant for exemption from registration as an IB, CPO or CTA pursuant to CFTC Regulation 30.5:

the applicant does not act as an IB, CPO or CTA, respectively, in connection with trading on or subject to the rules of a designated contract market in the United States by, for or on behalf of any U.S. customer, client or pool;

the applicant irrevocably agrees to the jurisdiction of the Commission and state and federal courts located in the U.S. with respect to activities and transactions subject to Part 30 of the CFTC's regulations; and

the applicant would not be statutorily disqualified from registration under §8a(2) or §8a(3) of the Act and is not disqualified from registration pursuant to the laws or regulations of its home country;

an express agreement that, whenever admitted to NFA membership, the applicant and its employees shall become and remain bound by all NFA requirements, including without limitation all applicable NFA Bylaws, Compliance Rules, Financial Requirements, Registration Rules, Code of Arbitration and Member Arbitration Rules, as then and thereafter in effect, and that this agreement shall apply each time the applicant becomes a Member of NFA; and

if the applicant is applying for NFA membership, certification that the applicant has authorized the person filing this application for NFA membership to file it on the Applicant's behalf.

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443648 GOLDMAN SACHS BANK USA

NON-U.S. REGULATOR INFORMATION DELETED

NON-U.S. REGULATOR(S) DURING THE PAST FIVE YEARS: NONE

FILED BY: MIGNONEJ4

FILED ON: 12/14/2012 3:46:18 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1074&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443648 GOLDMAN SACHS BANK USA

NON-U.S. REGULATOR INFORMATION ADDED

**NON-U.S. REGULATOR(S) DURING THE PAST FIVE YEARS:** FINANCIAL CONDUCT AUTHORITY (UNITED KINGDOM) PRUDENTIAL REGULATION AUTHORITY (UNITED KINGDOM)

**FILED BY:** TREANORK4

**FILED ON:** 4/19/2013 4:01:23 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1074&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 2

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443648 GOLDMAN SACHS BANK USA

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | JOANNA |
| --- | --- |
| LAST NAME: | LANE |
| TITLE: | VICE PRESIDENT |
| STREET ADDRESS 1: | 200 WEST STREET |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10282 |
| PHONE NUMBER: | 212-902-5748 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | JOANNA.LANE@GS.COM |
| FILED BY: | TREANORK4 |
| FILED ON: | 1/24/2014 11:18:17 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 2 of 2

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1076&formSeq... 10/27/2021

# National Futures Association

Business Locations (3R)

Page 1

Filed January 24, 2014

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

# Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

Business Locations (3R)

Page 2

Filed January 24, 2014

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  |  | Page 3 |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

LAWRENCE GIARRANTANO

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-3733

E-mail: LAWRENCE.GIARRANTANO@GS.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed January 24, 2014

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: FELICIA.RECTOR@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-9041

E-mail: FELICIA.RECTOR@GS.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 5 |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed January 24, 2014

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

# National Futures Association

Business Locations (3R)

Page 1

Filed January 26, 2015

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KIMBERLY WILLIAMS

User ID WILLIAMSK3

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

Business Locations (3R)

Page 2

Filed January 26, 2015

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KIMBERLY WILLIAMS

User ID WILLIAMSK3

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

Business Locations (3R)

Page 3

Filed January 26, 2015

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KIMBERLY WILLIAMS

User ID WILLIAM3K3

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

KIMBERLY WILLIAMS

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-934-0239

E-mail: KIMBERLY.WILLIAMS@GS.COM

# National Futures Association

Business Locations (3R)

Page 4

Filed January 26, 2015

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KIMBERLY WILLIAMS

User ID WILLIAM3K3

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: FELICIA.RECTOR@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-9041

E-mail: FELICIA.RECTOR@GS.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 5 |
| --- | --- | --- | --- |
| Filed | January 26, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK3 |

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed January 26, 2015

OMB Number 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KIMBERLY WILLIAMS

User ID WILLIAM3K3

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

# National Futures Association

Business Locations (3R)

Page 1

Filed May 30, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |
| --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | KEVIN TREANOR | User ID TREANORK4 |

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID MONSIVAIS

ASSOCIATE

222 SOUTH MAIN STREET

SALT LAKE CITY, UT 84101

UNITED STATES

Phone: 801-741-6038

E-mail: DAVID.MONSIVAIS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

DAVID HERRMANN

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-0187

E-mail: DAVID.HERRMANN@GS.COM

### Chief Compliance Officer

DAVID HERRMANN

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-0187

E-mail: DAVID.HERRMANN@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 30, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

# National Futures Association

Business Locations (3R)

Page 1

Filed May 30, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |
| --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | KEVIN TREANOR | User ID TREANORK4 |

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID MONSIVAIS

ASSOCIATE

222 SOUTH MAIN STREET

SALT LAKE CITY, UT 84101

UNITED STATES

Phone: 801-741-6038

E-mail: DAVID.MONSIVAIS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

DAVID HERRMANN

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-0187

E-mail: US-REG-INQUIRIES@GS.COM

### Chief Compliance Officer

DAVID HERRMANN

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-0187

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | May 30, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed May 30, 2017

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

# National Futures Association

Business Locations (3R)

Page 1

Filed January 02, 2018

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |
| --- | --- | --- |
| Filed | January 02, 2018 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | KEVIN TREANOR | User ID TREANORK4 |

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | January 02, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID MONSIVAIS

ASSOCIATE

222 SOUTH MAIN STREET

SALT LAKE CITY, UT 84101

UNITED STATES

Phone: 801-741-6038

E-mail: DAVID.MONSIVAIS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | January 02, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | January 02, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

Business Locations (3R)

Page 6

Filed January 02, 2018

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

Business Locations

Page 2

Filed March 23, 2018

OMB Numbers 3038-0023 and 3038-0072

Registrant GOLDMAN SACHS BANK USA

NFA ID 0443648

Submitted By KEVIN TREANOR

User ID TREANORK4

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID BRAUN

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: 212-902-1450

E-mail: DAVID.BRAUN@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK4 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD4 |

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |
| --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID DONBOSCOD4 |

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD4 |

## Contact Information

Registration Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Membership Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Accounting Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD4 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD4 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD4 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC5 |

## Business Information

| Business Address | 200 WEST STREET NEW YORK, NEW YORK 10282 UNITED STATES |
| --- | --- |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |
| --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID ORGILLCS |

## Location of Business Records

Business Records Address

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC5 |

## Contact Information

Registration Contact

NATHAN BURBY

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

Membership Contact

NATHAN BURBY

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

Accounting Contact

NATHAN BURBY

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC5 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

### Chief Compliance Officer

FELICIA RECTOR

MANAGING DIRECTOR

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 917-343-2738

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID | 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC5 |

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: 212-902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |
| --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS BANK USA | NFA ID 0443648 |
| Submitted By | CRYSTAL ORGILL | User ID ORGILLCS |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# Firm Financial Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by CRYSTAL ORGILL (ORGILLC5)

The question(s) you are disclosing the financial matter under:

☑ J.

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

Case Information

Bankruptcy Case Information

United States Bankruptcy Court (USBC) location where the related bankruptcy case was filed

SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION

Case Number 20-31956

Adversary Case Information

| Court where the adversary action was filed | UNITED STATES BANKRUPTCY COURT |
| --- | --- |
| Court Location | SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION |
| Case Number of Adversary Action | 20-03177 |
| Adversary Action Status | PENDING |
| Date Initiated | June 2020 |

Comments

Goldman Sachs Bank USA (the "Firm") has been or currently is named in adversary actions brought by a U.S. bankruptcy trustee. The Firm anticipates it could also be named in similar adversary actions in the future. As such, the Firm hereby provides this general disclosure which is intended to cover all such adversary proceedings.

Supporting Documentation

Not provided

Page 1 of 1

# **Disciplinary Information (Firm)**
**COMMODITY FUTURES TRADING COMMISSION**
**NATIONAL FUTURES ASSOCIATION**

Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by CRYSTAL ORGILL (ORGILLC5)

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).

Not every section applies to every applicant. Certain sections apply depending on the registration category or categories being applied for. The text above these sections explains who must complete the section.

# DEFINED TERMS

Words that are underlined in this form are either defined terms and have the meanings contained in the Definition of Terms section or links to the text of Commodity Exchange Act provisions, CFTC Regulations or NFA Rules.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

# Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration Investigations or Legal (RIL) staff) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RIL staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

# Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

# Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

With some exceptions, which are described below in the Regulatory and Financial Disclosures sections, if any

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

### Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (800) 621-3570 or (312) 701-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

### DISCIPLINARY INFORMATION SECTION

### Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the derivatives industry. All criminal matters must be disclosed, even if a matter is unrelated to the derivatives industry, unless the case was decided in a juvenile court or under a Youth Offender law.

### Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or U.S. futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

### Financial Disclosures

It is not necessary to disclose arbitration awards or CFTC reparations matters unless the applicant or registrant has failed to pay an award related to a CFTC-related product or an order entered in a reparations matter.

Only adversary actions that a U.S. bankruptcy trustee files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

### ADDITIONAL DOCUMENTS

For each matter that caused a "Yes" answer, a Disclosure Matter Page (DMP), which is accessible using NFA's DMP Filing System, must be filed. In addition to the required DMP, other documents about the matter must be provided to NFA. If court documents are unavailable, a certified letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, a written explanation for their unavailability must be provided. Electronic copies of the documents can be uploaded using NFA's DMP Filing System or documents may be sent to NFA by email to registration@nfa.futures.org, fax to (312) 559-3411 or mail to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, IL 60606.

Providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA

## Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

**10% OR MORE INTEREST**: direct or indirect ownership of 10% or more of an entity's stock; entitlement to vote or empowered to sell 10% or more of an entity's voting securities; contribution of 10% or more of an entity's capital; or entitlement to 10% or more of an entity's net profits.

**ADJUDICATION**: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

**ADVERSARY ACTION**: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

**ALIAS**: another name utilized by an individual or previously used by an entity.

**CHARGE**: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

**DBA**: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

**DESIGNATED SUPERVISOR**: solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

**ENJOINED**: subject to an injunction.

**ENTITY**: any person other than an individual.

**ENTITY FLOOR TRADER**: an applicant that files or registrant that filed a Form 7-R to apply for registration as a floor trader.

**FELONY**: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

**FINANCIAL SERVICES INDUSTRY**: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

**FLOOR TRADER ORDER ENTERER**: an individual responsible for entry of orders from an Entity Floor Trader's own account.

**FOUND**: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

**INDIRECT OWNER:** an individual who through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an entity's net profits; or
- has the power to exercise a controlling influence over an entity's activities that are subject to regulation by the Commission.

# **INTERNAL REVENUE CODE:**

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

# **INVESTMENT RELATED STATUTES:**

- The Commodity Exchange Act
- The Securities Act of 1933
- The Securities Exchange Act of 1934
- The Public Utility Holding Company Act of 1935
- The Trust Indenture Act of 1939
- The Investment Advisers Act of 1940
- The Investment Company Act of 1940
- The Securities Investors Protection Act of 1970
- The Foreign Corrupt Practices Act of 1977
- Chapter 96 of Title 18 of the United States Code
- Any similar statute of a State or foreign jurisdiction
- Any rule, regulation or order under any such statutes; and
- The rules of the Municipal Securities Rulemaking Board

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

**MISDEMEANOR:** any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

**NON-U.S. NATURAL PERSON:** an individual who has not resided in the U.S. since reaching the age of 18 years.

**OTHER NAME:** For firms, including sole proprietors, any other name that the firm uses or has used in the past but not the name of any other legal entity that the firm has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

**OUTSIDE DIRECTOR:** an individual who is director of an applicant or registrant and who:

- is not an officer or employee of the applicant or registrant;
- is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of

- or acceptance of customers' orders or retail forex customers' orders;
- funds, securities or property for participation in a commodity pool;
- a client's or prospective client's discretionary account;
- leverage customers' orders for leverage transactions;
- or acceptance of a swap agreement; or

- does not regularly have access to the keeping, handling or processing of:

- transactions involving "commodity interests", as that term is defined in CFTC Regulation 1.3;
- customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital.

**PERSON:** an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

**PRINCIPAL** - means, with respect to an applicant, a registrant, or a person required to be registered under the Act:

(1) an individual who is:

- a sole proprietor of a sole proprietorship;
- a general partner of a partnership;
- a director, president, chief executive officer, chief operating officer, chief financial officer, or a person

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA

in charge of a business unit, division or function subject to regulation by the Commission of a corporation, limited liability company or limited liability partnership;

- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or
- a chief compliance officer; or

(2) an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an applicant or registrant's net profits; or
- has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or

(3) an entity that:

- is a general partner of a partnership; or
- is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or

(4) an individual who or an entity that:

- has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by:

- an unaffiliated bank insured by the Federal Deposit Insurance Corporation;
- an unaffiliated "foreign bank," as defined in 12 CFR 211.21(n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21(t), which is licensed under 12 CFR 211.24(a);
- such office of an unaffiliated, licensed foreign bank; or
- an insurance company subject to regulation by any State,
provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant.

For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections in the Form 8-R, PRINCIPAL also means an individual described in (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards of conduct for an industry. NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

UNITED STATES CRIMINAL CODE:

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Section 152: Concealment of assets, making false claims or bribery in connection with a bankruptcy

Section 1341, 1342 or 1343: Mail fraud

Chapter 25: Counterfeiting and forgery

Chapter 47: Fraud or false statements in a matter within the jurisdiction of a United States department or agency

Chapter 95 or 96: Racketeering and Racketeering Influence

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA

# Disciplinary Information - Criminal Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges;
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 14

Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

# Question B

Has the firm ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., non-U.S. or military court which involves:

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

# Question C

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

No

Even though you answered "No" to all of the above questions, would you like to provide a Criminal DMP?
No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA

## Disciplinary Information - Regulatory Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 10 of 14

Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

No

# Question E

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

No

# Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

# Question G

Has the firm ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted the firm's ability to engage in any business in the financial services industry?

No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 11 of 14

Disciplinary Information (Individual) Filed on August 05, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA---

# Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

**No**

# Question I

Is the firm a party to any action, the resolution of which could result in a 'Yes' answer to the above questions?

**No**

Even though you answered 'No' to all of the above questions, would you like to provide a Regulatory DMP? **No**

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA

## Disciplinary Information - Financial Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

Yes

Will you be filing a Financial DMP with respect to a new matter? No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

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NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 14 of 14

# Firm Financial Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on August 06, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by CRYSTAL ORGILL (ORGILLC5)

The question(s) you are disclosing the financial matter under:

☑ J.

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

Case Information

Bankruptcy Case Information

United States Bankruptcy Court (USBC) location where the related bankruptcy case was filed

SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION

Case Number 20-31956

Adversary Case Information

| Court where the adversary action was filed | UNITED STATES BANKRUPTCY COURT |
| --- | --- |
| Court Location | SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION |
| Case Number of Adversary Action | 20-03177 |
| Adversary Action Status | PENDING |
| Date Initiated | June 2020 |

Comments

Goldman Sachs Bank USA (the "Firm") has been or currently is named in adversary actions brought by a U.S. bankruptcy trustee. The Firm anticipates it could also be named in similar adversary actions in the future. As such, the Firm hereby provides this general disclosure which is intended to cover all such adversary proceedings.

Supporting Documentation

Description

File Name

ADVERSARY COMPLAINT

Adversary Complaint.pdf

Page 1 of 1

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by CRYSTAL ORGILL (ORGILLC5)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 8

Business Locations Filed on August 20, 2020
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Enforcement/Compliance Communication Contact Information

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ROBBY |
| --- | --- |
| Last Name | MANGROO |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-9842 |
| Email | US-REG-INQUIRIES@GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Membership Contact Information

### Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Arbitration Contact

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

Compliance Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# **Chief Compliance Officer Contact**

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 8

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by CRYSTAL ORGILL (ORGILLC5)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 8

Business Locations Filed on August 20, 2020
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Enforcement/Compliance Communication Contact Information

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ROBBY |
| --- | --- |
| Last Name | MANGROO |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-9842 |
| Email | US-REG-INQUIRIES@GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Membership Contact Information

### Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

Arbitration Contact

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

Compliance Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 8

Business Locations Filed on August 20, 2020  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# **Chief Compliance Officer Contact**

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 8

Business Locations Filed on August 20, 2020

NFA ID 0443648 GOLDMAN SACHS BANK USA

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 8

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on February 24, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by DIVYA DON BOSCO (DONBOSCOD4)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on February 24, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on February 24, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on February 24, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

### Enforcement/Compliance Communication Contact Information

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on February 24, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on February 24, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Membership Contact Information

Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on February 24, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Arbitration Contact

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-7724 |
| Email | JOANNE.COOK@GS.COM |

# Compliance Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on February 24, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Chief Compliance Officer Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on February 24, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on February 27, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by JAMISON YARDLEY (YARDLEYJ18)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on February 27, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on February 27, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on February 27, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Enforcement/Compliance Communication Contact Information

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on February 27, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on February 27, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Membership Contact Information

Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on February 27, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# Compliance Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on February 27, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Chief Compliance Officer Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on February 27, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

# Firm Financial Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on February 28, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by DIVYA DON BOSCO (DONBOSCOD4)

The question(s) you are disclosing the financial matter under:

☑ J.

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

### Case Information

#### Bankruptcy Case Information

United States Bankruptcy Court (USBC) location where the related bankruptcy case was filed

SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION

Case Number

20-31956

#### Adversary Case Information

Court where the adversary action was filed

Court Location

Case Number of Adversary Action

Adversary Action Status

Adversary Action Final Disposition

Date Resolved

UNITED STATES BANKRUPTCY COURT

SOUTHERN DISTRICT OF TEXAS, HOUSTON DIVISION

20-03177

FINAL

DISMISSED

February 2021

### Comments

Goldman Sachs Bank USA (the "Firm") has been or currently is named in adversary actions brought by a U.S. bankruptcy trustee. The Firm anticipates it could also be named in similar adversary actions in the future. As such, the Firm hereby provides this general disclosure which is intended to cover all such adversary proceedings.

### Supporting Documentation

Description

File Name

ADVERSARY COMPLAINT

Adversary Complaint.pdf

Description

File Name

DISMISSAL ORDER

Signed Dismissal Order.pdf

Page 1 of 1

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by JAMISON YARDLEY (YARDLEYJ18)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on March 22, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on March 22, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Enforcement/Compliance Communication Contact Information

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on March 22, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Membership Contact Information

Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

Compliance Contact

| First Name | FELICIA |
| --- | --- |
| Last Name | RECTOR |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-2738 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

# Chief Compliance Officer Contact

First Name FELICIA

Last Name RECTOR

Title MANAGING DIRECTOR

Street Address 1 200 WEST STREET

City NEW YORK

State (United States only) NEW YORK

Zip/Postal Code 10282

Country UNITED STATES

Phone 917-343-2738

Email US-REG-INQUIRIES@GS.COM

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on March 22, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on July 28, 2021

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by JAIME DUPRATT (DUPRATTJ4)

Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on July 28, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on July 28, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on July 28, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

### Enforcement/Compliance Communication Contact Information

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on July 28, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on July 28, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on July 28, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# **Arbitration Contact**

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# **Compliance Contact**

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on July 28, 2021
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Chief Compliance Officer Contact

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on July 28, 2021  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

2/16/22, 2:35 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0443648 GOLDMAN SACHS BANK USA

U.S. REGULATOR INFORMATION ADDED

U.S REGULATOR(S): THE SECURITIES AND EXCHANGE COMMISSION

FILED BY: CRYSTAL ORGILL - ORGILLC5

FILED ON: 2/4/2022 5:44:28 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2022 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1099&formSeqNum=1384692&appendChangeText=ADDED&changeTypeD... 1/1

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on February 04, 2022

NFA ID 0443648 GOLDMAN SACHS BANK USA
Submitted by CRYSTAL ORGILL (ORGILLC5)

# Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on February 04, 2022
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

### Enforcement/Compliance Communication Contact Information

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |
| City | DALLAS |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on February 04, 2022
NFA ID 0443648 GOLDMAN SACHS BANK USA

| State (United States only) | NEW YORK |
| --- | --- |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# Compliance Contact

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# Chief Compliance Officer Contact

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on February 04, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

# Firm Business Locations

### COMMODITY FUTURES TRADING COMMISSION NATIONAL FUTURES ASSOCIATION---

Filed on June 24, 2022

NFA ID 0443648 GOLDMAN SACHS BANK USA

Submitted by DIVYA DON BOSCO (DONBOSCOD4)

## Business Information

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone Number | 212-902-1000 |
| Fax Number | 646-769-7312 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 9

Business Locations Filed on June 24, 2022
NFA ID 0443648 GOLDMAN SACHS BANK USA

# Location of Business Records

| Street Address 1 | 200 WEST STREET |
| --- | --- |
| City | NEW YORK |
| State | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# Enforcement/Compliance Communication Contact Information

| First Name | JOSEPH |
| --- | --- |
| Last Name | BURKE |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-3164 |
| Email | GS-FUTURESINQUIRES-US@NY.EMAIL.GS.COM |

| First Name | G SUNIL |
| --- | --- |
| Last Name | CHOWDARY |
| Title | VICE PRESIDENT |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |
| City | DALLAS |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | (972) 368-4068 |
| Email | GS-FUTURESINQUIRES-US@NY.EMAIL.GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |
| City | DALLAS |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | 212-357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 9

Business Locations Filed on June 24, 2022
NFA ID 0443648 GOLDMAN SACHS BANK USA

| City | NEW YORK |
| --- | --- |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# **Arbitration Contact**

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 212-902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# **Compliance Contact**

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

# **Chief Compliance Officer Contact**

| First Name | MICHAEL |
| --- | --- |
| Last Name | BROADBERY |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-8087 |
| Email | MICHAEL.BROADBERY@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 9

Business Locations Filed on June 24, 2022  
NFA ID 0443648 GOLDMAN SACHS BANK USA---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 9

**Attachment 2:** `suppdocumentationbankusa.pdf`

Goldman Sachs

**VIA EDGAR SUBMISSION**

**FORM SBSE-A - SUPPLEMENTAL INFORMATION**

Applicant: GOLDMAN SACHS BANK USA

**Schedule B: Form SBSE-A**

Section II. Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings
**Item 13A.**

Firm or Organization Name:

**IRON MOUNTAIN INFORMATION MANAGEMENT LLC.**

**1 FEDERAL STREET**
**BOSTON, MA 02110**

Effective Date:

**12-1-2000**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES.**

Firm or Organization Name:

**DELL INC.**

**ONE DELL WAY RR1-61**
**ROUND ROCK, TX 78682**

Effective Date:

**10-1-2008**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

1

# **DELL PROVIDES SOLUTIONS FOR ARCHIVING INFORMATION AND E-MAILS.**

Firm or Organization Name:

**NICE LTD**

**8 HAPNINA ST**

**ISRAEL, RA'ANANA 43107**

Effective Date:

**2-28-2010**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**NICE PROVIDES TRADE AND VOICE RECORDING SERVICES TO THE APPLICANT.**

Firm or Organization Name:

**THE DEPOSITORY TRUST & CLEARING CORPORATION (DTCC)**

**55 WATER STREET**

**NEW YORK CITY, NY 10041**

Effective Date:

**9-3-2003**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**DTCC PROVIDES AFFIRMATION/CONFIRMATION SERVICES TO THE APPLICANT FOR CREDIT DERIVATIVES WHICH INCLUDES MAINTAINING THE APPLICANT'S CONFIRMATION RELATED RECORDS VERSUS OUR COUNTERPARTIES.**

Firm or Organization Name:

**PRICEWATERHOUSECOOPERS LLP (PWC)**

**300 MADISON AVENUE**

**NEW YORK, NY 10017**

Effective Date:

**1-1-1922**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**PWC AUDITS THE APPLICANT'S FINANCIAL INFORMATION PRESENTED ON THE ANNUAL FINANCIAL STATEMENTS SUBMITTED TO REGULATORS TO SUPPORT PWC'S ANNUAL AUDIT OPINION. PWC MAKES SURE THAT THIS AUDITED FINANCIAL INFORMATION AGREES BACK TO THE BOOKS AND RECORDS OF THE**

2

# **APPLICANT.**

Firm or Organization Name:

**CISIVE, FORMERLY CARCO GROUP, INC.**

**5000 CORPORATE COURT**

**SUITE 203**

**HOLTSVILLE, NY 11742**

Effective Date:

**8-12-2013**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**CISIVE CONDUCTS BACKGROUND CHECKS OF POTENTIAL AND CURRENT EMPLOYEES, AND MAINTAINS THE RECORDS OF ALL SUCH INVESTIGATIONS IT CONDUCTS.**

Firm or Organization Name:

**IHS MARKIT LTD.**

**15 INVERNESS WAY E**

**ENGLEWOOD, COLORADO, 80112**

Effective Date:

**03/17/2021**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**FOR SECURITY-BASED SWAP TRANSACTIONS THAT ARE VERIFIED ON MARKITWIRE, IHS MARKIT RETAINS COPIES OF VERIFICATIONS ON BEHALF OF THE APPLICANT.**

3

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** GOLDMAN SACHS BANK USA

**NFA Number:** 443648

**IRS Employer ID No.:** 13-3571598

**CIK:** 0001886709

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

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

**Business Telephone:** (212) 902-1000

**Contact Employee:**

- **Name:** RIQUEZA FEASTER

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** (212) 357 7821

- **Email:** Rique.Feaster@gs.com

**Chief Compliance Officer:**

- **Name:** RIQUEZA FEASTER

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** (212) 357 7821

- **Email:** Rique.Feaster@gs.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board, The Federal Deposit Insurance Corporation

**Description of Business:**
Goldman Sachs Bank USA, together with its consolidated subsidiaries (collectively, the Bank), is a New York State chartered bank and a member of the Federal Reserve System. The Bank is supervised and regulated by the Board of Governors of the Federal Reserve System, the New York State Department of Financial Services and the Consumer Financial Protection Bureau, and is a member of the Federal Deposit Insurance Corporation. The Bank's deposits are insured by the FDIC up to the maximum amount provided by law. The Bank is registered as a swap dealer with the U.S. Commodity Futures Trading Commission. The Bank is also a government securities dealer subject to the rules and regulations of the U.S. Department of the Treasury. The Bank is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. (Group Inc. and, collectively with its consolidated subsidiaries, GS Group).

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** No

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** No

**Number of Principals:** 12

### Schedule A: Principals

| Name                      | Title or Status          | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| PHILIP BERLINSKI          | CHIEF EXECUTIVE OFFICER  | 10/2021         | 04/2007              |  |       292649 |
| ESTA E STECHER            | DIRECTOR                 | 10/2021         | 07/1994              | NA - less than 5% |       261758 |
| SIMON PAUL MORRIS         | DIRECTOR                 | 10/2021         | 05/2019              | NA - less than 5% |       482562 |
| JEFFREY WILLIAM SCHROEDER | DIRECTOR                 | 10/2021         | 08/1990              | NA - less than 5% |       453792 |
| DEBORAH LEONE             | DIRECTOR                 | 10/2021         | 01/2020              | NA - less than 5% |       509244 |
| JOHN MANZI                | CHIEF FINANCIAL OFFICER  | 10/2021         | 11/2006              | NA - less than 5% |       521796 |
| KATHRYN M. CORLEY         | DIRECTOR                 | 10/2021         | 03/2021              | NA - less than 5% |       525257 |
| LARRY A. KLANE            | DIRECTOR                 | 10/2021         | 11/2019              | NA - less than 5% |       525261 |
| VIKRAM ANAND ATAL         | DIRECTOR                 | 10/2021         | 11/2017              | NA - less than 5% |       509360 |
| MONIQUE ROLLINS           | CHIEF OPERATING OFFICER  | 09/2022         | 05/2018              |  |       551256 |
| PETER OPPENHEIMER         | DIRECTOR                 | 08/2022         | 08/2021              |  |       551358 |
| RIQUEZA FEASTER           | CHIEF COMPLIANCE OFFICER | 09/2022         | 07/2022              |  |       551769 |

### Schedule B: Explanations

**Description:**
The Bank is a financial services provider that engages in banking activities. The Bank is GS Group's primary lending entity, serving corporate and private bank clients, as well as U.S. consumers through the Bank's digital platform, Marcus by Goldman Sachs (Marcus), and by issuing credit cards. The Bank is also GS Group's primary deposit-taking entity. The Bank's depositors include private bank clients, U.S. consumers, clients of third-party broker-dealers, institutions, corporations and its affiliates. In addition, the Bank enters into interest rate, currency, credit and other derivatives, and transacts in certain related cash products, for the purpose of market making and risk management.

**Records Keeper:**

- **Name:** IRON MOUNTAIN INFORMATION MANAGEMENT LLC

  - **Address:** 1 FEDERAL STREET, BOSTON, MA, 02110

  - **Effective Date:** 12-01-2000

  - **Arrangement:** —

- **Name:** DELL INC.

  - **Address:** ONE DELL WAY RR1-61, ROUND ROCK, TX, 78682

  - **Effective Date:** 10-01-2008

  - **Arrangement:** —

- **Name:** NICE LTD

  - **Address:** 8 HAPNINA ST, RA'ANANA, L3, 43107

  - **Effective Date:** 02-28-2010

  - **Arrangement:** —

- **Name:** THE DEPOSITORY TRUST & CLEARING CORPORATION

  - **Address:** 55 WATER STREET, NEW YORK, NY, 10041

  - **Effective Date:** 09-03-2003

  - **Arrangement:** —

### Execution

**Date:** 01-10-2023

**Name of Applicant:** GOLDMAN SACHS BANK USA

**Signature:** /s/ RIQUEZA FEASTER

**Printed Name:** RIQUEZA FEASTER

**Title:** CHIEF COMPLIANCE OFFICER