Form MA Applicant's Information

CIK
CCC

Submission Contact Information

Contact Person for this Filing
Nathan Burby 
Contact Phone
Contact Email Address
nathan.burby@gs.com 
Contact Email Address
jamison.yardley@gs.com 

Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Certain Items in Form MA," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

Part I

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as "municipal advisory firms" or "firms," unless the context indicates otherwise).

WARNING:

Complete this form truthfully. False statements or omissions may result in denial of application, revocation of registration, administrative or civil action, or criminal prosecution. Form MA must be amended promptly upon the occurrence of certain material events, and updated at least annually, within 90 days of the end of the municipal advisor's fiscal year, or, if a sole proprietor, the municipal advisor's calendar year. See General Instruction 8.

Type of Filing:

This is an:

Check the appropriate box.

checkbox unchecked Initial application to register as a municipal advisor with the SEC.

Execution Page: After completing this form, you must complete the Execution Page.


Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation.


Non-Resident Applicants: If you are a non-resident of the United States, certain additional requirements must be met at the time of filing your application, or processing of your application may be delayed. See General Instruction 2.c. and subsection "General Instructions to Form MA-NR" of the General Instructions.


checkbox uncheckedAnnual update of municipal advisor’s Form MA, for fiscal year ended , or, if a sole proprietor, for calendar year ended December 31, .


Execution Page: After completing this form, you must complete the Execution Page.


Changes: Are there any changes in this annual update to information provided in the municipal advisor’s most recent Form MA, other than the updated Execution Page?  radio button uncheckedYes radio button unchecked No

checkbox checked Amendment (other than annual update) to any part of the municipal advisor’s most recent Form MA.


Execution Pages: After completing this form, you must complete the Execution Page.

Item 1 Identifying Information

A. Full Legal Name of the Firm

(1) Firm Name:
GOLDMAN SACHS & CO. LLC 
Organization CRD No.,if any:
(2) Sole Proprietor: If the applicant is a sole proprietor, check here, and provide full last name, first name, middle name, and suffix, if any:
radio button unchecked Yes radio button checked No
(3) Name Change: If full legal name has changed since the municipal advisor's most recent Form MA, check here and provide the previous full legal name.
radio button checked Yes radio button unchecked No
 
(specify)
GOLDMAN, SACHS & CO. 

B. Doing-Business-As (DBA) Name

(1) If the name under which municipal advisor-related business is primarily conducted is different from Item 1-A., check here and provide the DBA name.
radio button unchecked Yes radio button checked No
(2) Previous DBA Name: If name under which municipal advisor-related business is primarily conducted has changed since the municipal advisor's most recent Form MA, check here and provide the previous name under which the municipal advisor-related business was primarily conducted.
radio button checked Yes radio button unchecked No
 
Previous DBA Name
GOLDMAN, SACHS & CO. 
(3) Additional Names: 
(a) Is municipal advisor-related business conducted under any additional names? 
radio button unchecked Yes radio button checked No
(b) List any additional names on Section 1-B of Schedule D.

C. (1) IRS Employer Identification Number:

D. Registrations

(1) Form MA-T Registration: Was the applicant previously registered on Form MA-T as a municipal advisor?
radio button checked Yes radio button unchecked No

If "Yes", enter the SEC File No. MA-T:

(2) Other Registrations: Is the applicant registered as or with any of the following?

Check all that apply. For each registration box you checked, provide the requested file number(s).  An applicant firm should NOT provide the organization CRD number, or other specified number, of any of its organizational affiliates, or the individual CRD number of its officers, employees, or natural person affiliates.

checkbox checkedMunicipal Advisor
SEC File No.:
checkbox unchecked Municipal Securities Dealer
SEC File No.:
checkbox checked Broker-Dealer   
SEC File No.:
 
Organization CRD No.:
checkbox checkedInvestment Adviser
checkbox checkedSEC -Registered
SEC File No.:
 
Organization CRD No.:
checkbox unchecked Exempt Reporting Adviser
SEC File No.:
 
Organization CRD No.:
checkbox checked Registered in US State or Other US Jurisdiction
Organization CRD No.:

Investment Adviser Registration in a US State or Other US Jurisdiction: If predecessor municipal advisory firm is registered in a US state or other jurisdiction as an investment adviser, enter the organization CRD Number above. In the table below, select each US state or jurisdiction in which the predecessor municipal advisory firm is so registered.

Check All That Apply:

US State or Jurisdiction
(Code)
US State or Jurisdiction
(Code)
checkbox checked Alabama
(AL)
checkbox checked Montana
(MT)
checkbox checked Alaska
(AK)
checkbox checked Nebraska
(NE)
checkbox checked Arizona
(AZ)
checkbox checked Nevada
(NV)
checkbox checked Arkansas
(AR)
checkbox checked New Hampshire
(NH)
checkbox checked California
(CA)
checkbox checked New Jersey
(NJ)
checkbox checked Colorado
(CO)
checkbox checked New Mexico
(NM)
checkbox checked Connecticut
(CT)
checkbox checked New York
(NY)
checkbox checked Delaware
(DE)
checkbox checked North Carolina
(NC)
checkbox checked District of Columbia
(DC)
checkbox checked North Dakota
(ND)
checkbox checked Florida
(FL)
checkbox checked Ohio
(OH)
checkbox checked Georgia
(GA)
checkbox checked Oklahoma
(OK)
checkbox checked Guam
(GU)
checkbox checked Oregon
(OR)
checkbox checked Hawaii
(HI)
checkbox checked Pennsylvania
(PA)
checkbox checked Idaho
(ID)
checkbox checked Puerto Rico
(PR)
checkbox checked Illinois
(IL)
checkbox checked Rhode Island
(RI)
checkbox checked Indiana
(IN)
checkbox checked South Carolina
(SC)
checkbox checked Iowa
(IA)
checkbox checked South Dakota
(SD)
checkbox checked Kansas
(KS)
checkbox checked Tennessee
(TN)
checkbox checked Kentucky
(KY)
checkbox checked Texas
(TX)
checkbox checked Louisiana
(LA)
checkbox checked Utah
(UT)
checkbox checked Maine
(ME)
checkbox checked Vermont
(VT)
checkbox checked Maryland
(MD)
checkbox checked Virgin Islands
(VI)
checkbox checked Massachusetts
(MA)
checkbox checked Virginia
(VA)
checkbox checked Michigan
(MI)
checkbox checked Washington
(WA)
checkbox checked Minnesota
(MN)
checkbox checked Wisconsin
(WI)
checkbox checked Mississippi
(MS)
checkbox checked West Virginia
(WV)
checkbox checked Missouri
(MO)
checkbox unchecked Government Securities Broker-Dealer 
SEC File No.:
 
Bank Identifier:
 
checkbox checked Other SEC Registration
(Specify):
Transfer Agent 
 
SEC File No. (if any):
 
EDGAR CIK (if any):
checkbox checked Another federal or state regulator(Specify):
National Futures Association 
 
Registration No. (if any):
0002014 
(3) Additional Registrations:
(a) Does the applicant have any additional registrations that are not listed in subsection (2)?
radio button checked Yes radio button unchecked No
(b) List any such additional registrations on Section 1-D of Schedule D.

E. Principal Office and Place of Business

(1) Address: Do not use a P.O. Box.
Street Address 1:
200 WEST STREET 
Street Address 2:
 
City:
NEW YORK 
State/Country:
NEW YORK  
Postal Code:
10282 
Telephone Number at this location:
2129021000 
Fax Number (if any) at this location:
 

For non-US telephone and fax numbers, include country code with area code and local number.

Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.
radio button uncheckedYes radio button unchecked No
(2) Additional Offices:
(a) Is municipal advisor-related business conducted at any office(s) other than applicant's principal office and place of business listed above?
radio button checked Yes radio button unchecked No
(b) If "Yes," list the five largest such additional offices on Section 1-E of Schedule D.
(3) Mailing Address: Is the mailing address different from principal office and place of business address in Item 1-E(1)?
radio button unchecked Yes radio button checked No
If "Yes," complete this item.
Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.
radio button uncheckedYes radio button unchecked No

F. Website

(1) Provide the address of the applicant's principal website (if any): 
(specify)
www.gs.com 
(2) Does the applicant have any additional websites? 
radio button checked Yes radio button unchecked No
(3) Total number of additional websites
(specify)
(4) List all additional website addresses on Section 1-F of Schedule D.

G. If the applicant has a Chief Compliance Officer, provide his or her name and contact information

Please note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided.

Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:
O'CONNELL 
First Name:
JOHN 
Middle Name:
MAURICE 
Other title(s), if any:
Street Address 1:
200 WEST STREET 
Street Address 2:
 
City:
NEW YORK 
State/Country:
NEW YORK  
Postal Code:
10282 

For non-US telephone and fax numbers, include country code with area code and local number.

Telephone Number:
212-902-1000 
Fax Number:
 
E-mail Address of Chief Compliance Officer:

 

H. Contact Person

If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this form, provide the name and contact information for that person :

Please note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided.

Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:
KOSIC 
First Name:
YVETTE 
Middle Name:
NMN 
Other title(s), if any:


Street Address 1:
30 HUDSON STREET 
Street Address 2:
 
City:
JERSEY CITY 
State/Country:
NEW JERSEY  
Postal Code:
07302 

For non-US telephone and fax numbers, include country code with area code and local number.

Telephone Number:
212-902-1000 
Fax Number:
 
E-mail Address of Contact Person:

 

I. Location of Books and Records

(1) Does the applicant maintain, or intend to maintain, some or all of the books and records required to be kept under MSRB rules and SEC rules at a location other than the principal office and place of business address listed in Item 1-E?
radio button checked Yes radio button unchecked No
(2) If "Yes," list all such locations in Section 1-I of Schedule D.

J. Foreign Financial Regulatory Authorities

(1) Is the applicant registered with a foreign financial regulatory authority? Answer "no" even if affiliated with a business that is registered with a foreign financial regulatory authority.
radio button checked Yes radio button unchecked No
(2) If "Yes," list all such registrations in Section 1-J of Schedule D.

K. Business Affiliates of the Applicant

(1) Is the applicant affiliated with any other domestic or foreign business entities?
radio button checked Yes radio button unchecked No
(2) If "Yes," provide the names of all such affiliates and any applicable registrations in Section 1-K of Schedule D .

Item 2 Form of Organization

A. Applicant's form of organization

If this is not an initial application, and the applicant’s form of organization has changed since the applicant’s most recent Form MA, see Instruction 8 of the General Instructions.

radio button unchecked Corporation radio button unchecked Sole Proprietorship radio button unchecked Limited Liability Partnership (LLP)

radio button unchecked Partnership radio button checked Limited Liability Company (LLC) radio button unchecked Limited Partnership (LP)

radio button unchecked Other (specify)

 

B. Month of Applicant's Annual Fiscal Year End

(Sole proprietors are not required to complete this subpart B.)

C. State, Other US Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized

If the applicant is a corporation or limited liability company, indicate the state or jurisdiction where the applicant is incorporated. If the applicant is a partnership, indicate the name of the state or jurisdiction under the laws of which the partnership was formed. If applicant is a sole proprietor, indicate the state or jurisdiction in which applicant resides.

If this is not an initial application for registration, and the applicant's information has changed since the applicant's most recent Form MA, see General Instruction 8.

Enter the full name of the U.S. jurisdiction, or the full name, in English, of the foreign jurisdiction:

D. Date of Organization:


E. Public Reporting Company

(1) Is the applicant a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
radio button checkedYes radio button uncheckedNo
(2) If "Yes," provide applicant's CIK number

(A CIK, or Central Index Key number, is assigned by the SEC to every public reporting company.)

Company Name
GOLDMAN SACHS & CO. LLC 

Item 3 Successions

A. Is the applicant, at the time of this filing, succeeding to the business of a registered municipal advisor?

If this succession was previously reported on Form MA, do not report the succession again. Instead, check "No." See Instruction 1 of the Specific Instructions for Form MA included in the General Instructions.
radio button unchecked Yes radio button checked No
If "Yes" enter the Date of Succession:

B. If "Yes," in Item 3.A., complete Section 3 of Schedule D.

If "Yes," in Item 3.A., complete Section 3 of Schedule D.
 

Item 4 Information About Applicant's Business

Note: Instruction 2 of the Specific Instructions for Certain Items in Form MA included in the General Instructions provides guidance for newly formed municipal advisors completing this Item 4.

Employees

If the applicant is organized as a sole proprietorship, include the sole proprietor as an employee.

A. Number of Employees:

Approximate number of employees of applicant. Include full- and part-time employees, but do not include clerical, administrative, or support workers (or workers performing similar functions): (If none, enter a zero.):

B. Municipal Advisory Activities:

Approximately how many of these employees engage in municipal advisory activities? (Include such employees even if they perform other functions in addition to engaging in municipal advisory activities.) If none, enter a zero.

C. Registered Representatives

(1) Approximately how many of the employees who are included in the response to part B are registered representatives of a broker-dealer? If none, enter a zero.
(2) Approximately how many are investment adviser representatives? If none, enter a zero.

D. Firms and Other Persons that Solicit on Behalf of the Applicant

Approximately how many firms and other persons who are not employed by the applicant and who are not otherwise associated persons of the applicant solicit clients on the applicant's behalf? (If none, enter a zero. Count a firm only once; do not count each of the firm’s employees that solicits on the applicant’s behalf.)
Please list the names of these firms and other persons on Section 4-D of Schedule D.

E. Employees Also Acting as Affiliates of the Applicant

(1) Does the applicant have any employees that also do business independently on the applicant's behalf as affiliates of the applicant?
radio button uncheckedYES radio button checkedNO
(2) Total number of such employees:
(3) List the names of these employees on Section 4-E of Schedule D.

Clients

F. Types of Clients

Approximately how many clients did the applicant serve in the context of its municipal advisory activities during its most-recently completed fiscal year? (If none, enter a zero and check box 5 below).

The applicant has the following types of clients:

Check all that apply.

checkbox checked (1) Municipal Entities
checkbox checked (2) Non-profit organizations (e.g., 501(c)(3) organizations) who are obligated persons
checkbox checked (3) Corporations or other businesses not listed above who are obligated persons
checkbox unchecked (4) Other: (specify)
checkbox unchecked (5) Not applicable - applicant engages only in solicitation; does not serve clients in the context of its municipal advisory activities

G. Solicitations Of Municipal Entities and Obligated Persons

Approximately how many municipal entities and obligated persons were solicited by the applicant on behalf of a third-party during its most-recently completed fiscal year? (If the applicant solicits its clients in addition to serving these clients in the context of its municipal advisory activities, the clients should be counted in the response to this Part G even if counted in Part F.)

(1) Municipal Entities:

If none, enter a zero.

(2) Obligated Persons:

If none, enter a zero

(3) Total:

H. Types of Persons Solicited

The applicant solicits the following types of persons:

Check all that apply.

checkbox unchecked (1) Public pension funds
checkbox unchecked (2) 529 Plans
checkbox unchecked (3) Local government investment pools
checkbox unchecked (4) State government investment pools
checkbox unchecked (5) Hospitals
checkbox unchecked (6) Colleges
checkbox unchecked (7) Other: (specify)
checkbox checked (8) Not applicable – applicant only serves clients; does not engage in solicitation in the context of its municipal advisory activities

Compensation Arrangements

I. Applicant is compensated for its advice to or on behalf of municipal entities or obligated persons with respect to municipal financial products or the issuance of municipal securities by:

Check all that apply.

checkbox unchecked (1) Hourly charges
checkbox checked (2) Fixed fees (not contingent on the issuance of municipal securities)
checkbox checked (3) Contingent fees
checkbox unchecked (4) Subscription fees (for a newsletter or other publications)
checkbox unchecked (5) Other: (specify)
checkbox unchecked (6) Not applicable – applicant engages only in solicitation; does not serve clients in the context of its municipal advisory activities

J. Applicant is compensated for its solicitation activities by:

Check all that apply.

checkbox unchecked (1) Hourly charges
checkbox unchecked (2) Fixed fees (not contingent on the success of solicitations)
checkbox unchecked (3) Contingent fees
checkbox unchecked (4) Subscription fees (for a newsletter or other publications)
checkbox unchecked (5) Other: (specify)
checkbox checked (6) Not applicable; applicant only serves clients; does not engage in solicitation as part of its municipal advisory activities

K. Does the applicant receive compensation, in the context of its municipal advisory activities, from anyone other than clients?

radio button uncheckedYES radio button checkedNO
 
If "Yes", please explain:

Applicant's Business Relating to Municipal Securities

L. Applicant is engaged in the following types of activities:

Check all that apply.

checkbox checked
(1) Advice concerning the issuance of municipal securities (including, without limitation, advice concerning the structure, timing, terms and other similar matters, such as the preparation of feasibility studies, tax rate studies, appraisals and similar documents, related to an offering of municipal securities)
checkbox checked
(2) Advice concerning the investment of the proceeds of municipal securities (including, without limitation, advice concerning the structure, timing, terms and other similar matters concerning such investments)
checkbox checked
(3) Advice concerning municipal escrow investments (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
checkbox unchecked
(4) Advice concerning the investment of other funds of a municipal entity (including, without limitation, advice concerning the structure, timing, terms and other similar matters concerning such investments)
checkbox checked
(5) Advice concerning guaranteed investment contracts (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
checkbox checked
(6) Advice concerning the use of municipal derivatives (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
checkbox unchecked
(7) Solicitation of investment advisory business from a municipal entity or obligated person (including, without limitation, municipal pension plans) on behalf of an unaffiliated broker, dealer, municipal advisor or investment adviser (e.g., third party marketers, placement agents, solicitors, and finders)
checkbox unchecked
(8) Solicitation of business other than investment advisory business from a municipal entity or obligated person on behalf of an unaffiliated person or firm (e.g., third party marketers, placement agents, solicitors, and finders)
checkbox unchecked
(9) Advice or recommendations concerning the selection of other municipal advisors or underwriters with respect to municipal financial products or the issuance of municipal securities
checkbox unchecked
(10) Brokerage of municipal escrow investments
checkbox unchecked
(11) Other: (specify)

Item 5 Other Business Activities

A. Applicant is actively engaged in business in or as a:

 
Is Applicant Actively Engaged?
Check all that apply.
Is this Applicant’s Primary Business(es)?
Check all that apply.
1. Broker-dealer, municipal securities dealer or government securities broker or dealer
checkbox checked
checkbox checked
2. Registered representative of a broker-dealer
checkbox unchecked
checkbox unchecked
3. Commodity pool operator (whether registered or exempt from registration)
checkbox unchecked
checkbox unchecked
4. Commodity trading advisor (whether registered or exempt from registration)
checkbox checked
checkbox checked
5. Futures commission merchant
checkbox checked
checkbox checked
6. Major swap participant
checkbox unchecked
checkbox unchecked
7. Major security-based swap participant
checkbox unchecked
checkbox unchecked
8. Swap dealer
checkbox checked
checkbox checked
9. Security-based swap dealer
checkbox unchecked
checkbox unchecked
10. Trust company
checkbox unchecked
checkbox unchecked
11. Real estate broker, dealer, or agent
checkbox unchecked
checkbox unchecked
12. Insurance company, broker, or agent
checkbox unchecked
checkbox unchecked
13. Banking or thrift institution (including a separately identifiable department or division of a bank)
checkbox unchecked
checkbox unchecked
14. Investment adviser (including financial planners)
checkbox checked
checkbox checked
15. Attorney or law firm (Jurisdiction(s) where licensed)
checkbox unchecked
checkbox unchecked

Jurisdiction(s) where licensed (specify)

 

 
 
16. Accountant or accounting firm (Jurisdiction(s) where licensed)
checkbox unchecked
checkbox unchecked

Jurisdiction(s) where licensed (specify)


 

 
 
17. Engineer or engineering firm
checkbox unchecked
checkbox unchecked

Jurisdiction(s) where licensed


 

 
 
18. Other financial product advisor
checkbox unchecked
checkbox unchecked

(specify)


 

 
 

B. Other Business

(1) Is applicant actively engaged in any other business not listed in Part A of this Item (other than engaging in municipal advisory activities)?
radio button checked Yes radio button unchecked No
(2) If "Yes" to Part B-1., is this other business applicant's primary business?
radio button unchecked Yes radio button checked No
(3) If "Yes" to Part B-2., describe the other business on Section 5-B of Schedule D.

Item 6 Financial Industry and Other Activities of Associated Persons

A. Applicant has one or more associated persons that is a:

Check all that apply.

"Associated Person" herein refers to a person who is an associated person of a municipal advisor. Note that "associated person" includes employees and persons with control over the municipal advisor that do not themselves engage in municipal advisory activities, but does not include employees that are performing solely clerical, administrative, support or other similar functions. Note also that more than one box may be applicable to any such associated person. For example, if an associated person is both a swap dealer and security-based swap adviser, check both boxes (4) and (5) below.

checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
checkbox checked (2) Investment company (including mutual funds)
checkbox checked (3) Investment adviser (including financial planners)
checkbox checked (4) Swap dealer
checkbox unchecked (5) Security-based swap dealer
checkbox unchecked (6) Major swap participant
checkbox unchecked (7) Major security-based swap participant
checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
checkbox checked (9) Commodity trading advisor (whether registered or exempt from registration)
checkbox checked (10) Futures commission merchant
checkbox checked (11) Banking or thrift institution
checkbox checked (12) Trust company
checkbox unchecked (13) Accountant or accounting firm
checkbox unchecked (14) Attorney or law firm
checkbox checked (15) Insurance company or agency
checkbox unchecked (16) Pension consultant
checkbox unchecked (17) Real estate broker or dealer
checkbox checked (18) Sponsor or syndicator of limited partnerships
checkbox unchecked (19) Engineer or engineering firm
checkbox unchecked (20) Other municipal advisor

Total Associated Persons:

Provide the total number of such associated persons:

Provide the total number of such associated persons, not the number of boxes checked. For example, if the applicant's associated persons are 2 broker-dealers, 1 investment company, and 2 pension consultants, then 3 boxes would be checked in Item 6-A.1 to 20, while the total number of such associated persons entered in Item 6-A., Total Associated Persons, would be 5. If there are no associated persons, enter 0 (zero).

B. Applicant must list all such associated persons, including foreign associated persons, on Section 6 of Schedule D.

If Item 6-A. Total Associated Persons, is 2 or more, the applicant must complete a separate Section 6 of Schedule D for each associated person.

Item 7 Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee Transactions

Proprietary Interest in Municipal Advisory Client or Solicitee Transactions

A. Does applicant or any associated person:

(1) buy securities or other investment or derivative products for itself from clients or solicitees in the context of its municipal advisory activities, or sell securities it owns to such clients or solicitees?
radio button unchecked Yes radio button checked No
(2) buy or sell for itself securities (other than shares of mutual funds) or other investment or derivative products that the applicant also recommends to such clients or solicitees?
radio button unchecked Yes radio button checked No
(3) enter into derivatives contracts with such clients or solicitees?
radio button checked Yes radio button unchecked No
(4) recommend securities or other investment or derivative products to such clients or solicitees in which applicant or any associated person has some other proprietary (ownership) interest (other than those mentioned in Items 7-A(1), (2) or (3) above)?
radio button unchecked Yes radio button checked No

Sales Interest in Client or Solicitee Transactions

B. Does applicant or any associated person:

(1) recommend purchases of securities or derivatives to clients or solicitees that are served by the applicant or associated person, for which the applicant or any associated person serves as underwriter, general or managing partner, or purchaser representative?
radio button unchecked Yes radio button checked No
(2) recommend purchases or sales of securities or derivatives to such clients or solicitees in which applicant or any associated person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)?
radio button unchecked Yes radio button checked No

Investment or Brokerage Discretion

C. Does applicant or any associated person have discretionary authority to determine the:

(1) securities or other investment or derivative products to be bought or sold for the account of a client or solicitee?
radio button unchecked Yes radio button checked No
(2) amount of securities or other investment or derivative products to be bought or sold for the account of such a client or solicitee?
radio button unchecked Yes radio button checked No
(3) (a) broker or dealer to be used for a purchase or sale of securities or other investment or derivative products for the account of such a client or solicitee?
radio button unchecked Yes radio button checked No
(b) If "Yes," are any of the brokers or dealers associated persons?
radio button unchecked Yes radio button unchecked No
(4) commission rates or other fees to be paid to a broker or dealer for such a client's or solicitee's securities transactions or transactions in other investment or derivative products?
radio button unchecked Yes radio button checked No

D.

(1) Does applicant or any associated person recommend brokers, dealers or investment advisers to clients or solicitees in the context of its municipal advisory activities?
radio button unchecked Yes radio button checked No
(2) If "Yes," is any such broker, dealer, or investment adviser an associated person?
radio button unchecked Yes radio button unchecked No

In responding to Items 7-E and 7-F below, consider all cash and non-cash compensation that the applicant or an associated person gave or received from any person in exchange for referrals of such clients or solicitees, including any bonus that is based, at least in part, on the number or amount of such referrals.

E. Does the applicant or any associated person, directly or indirectly, compensate any person for referrals of clients or solicitees in connection with municipal advisory activities?

radio button unchecked Yes radio button checked No

F. Does the applicant or any associated person, directly or indirectly, receive compensation from any person for referrals of clients or solicitees in connection with municipal advisory activities?

radio button unchecked Yes radio button checked No

Item 8 Owners, Officers and Other Control Persons

A. Identifying Owners, Officers and Other Control Persons

(1) In this Item, identify every person that, directly or indirectly, controls the applicant, or that the applicant directly or indirectly controls.

(a) If this is an initial application, the applicant must complete Schedule A and Schedule B.

Schedule A asks for information about direct owners and executive officers.

Schedule B asks for information about indirect owners.

(b) If this is an amendment updating information reported on either the Schedule A or Schedule B (or both) filed with the applicant's initial application, the applicant must also complete Schedule C.

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

(3) If "Yes" to Item 8-A.2. above, complete Section 8-A of Schedule D.

B. Public Reporting Companies

(1) Is any person in Schedules A, B, or C, or in Section 8-A of Schedule D a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?
radio button checked Yes radio button unchecked No

(2) If "Yes" to Item 8-B.1. above, complete Section 8-B of Schedule D.

Item 9 Disclosure Information

In this Item, provide information about the criminal, regulatory, and judicial history, if any, of the applicant and each associated person of the applicant.

This information is used to determine whether to approve an application for registration, to decide whether to revoke registration, or to place limitations on the applicant's activities as a municipal advisor, and to identify potential problem areas on which to focus during on-site examinations. One event may result in the requirement to answer "Yes" to more than one question below.

Refer to the Glossary of Terms for explanations of italicized terms, such as associated person.

Criminal Action Disclosure

If the answer is "Yes" to any question below in Part A or B below, complete a Criminal Action DRP.

Disclosure of any event listed in this Criminal Action Disclosure Section is not required if the date of the event was more than ten years ago. For purposes of calculating this ten-year period, the date of an event is the date that the final order, judgment, or decree was entered, or the date that any rights of appeal from preliminary orders, judgments, or decrees lapsed.

Check all that apply.

A. In the past ten years, has the applicant or any associated person:

(1) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony, in a domestic, foreign, or military court?
radio button uncheckedYesradio button checked No
(2) been charged with any felony?
radio button uncheckedYesradio button checked No

The response to Item 9-A(2) may be limited to charges that are currently pending.

B. In the past ten years, has the applicant or any associated person:

(1) been convicted of any misdemeanor, or pled guilty or nolo contendere ("no contest"), in a domestic, foreign, or military court to any charge of a misdemeanor in a case involving: municipal advisor-related business, investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
radio button checked Yesradio button unchecked No
(2) been charged with a misdemeanor of the kind listed in Item 9-B(1)?
radio button checked Yes radio button unchecked No

The response to Item 9-B(2) may be limited to charges that are currently pending.

Regulatory Action Disclosure

If the answer is "Yes" to any question in Parts C-G below, complete a Regulatory Action DRP.

Check all that apply.

C. Has the SEC or the CFTC ever:

(1) found the applicant or any associated person to have made a false statement or omission?
radio button checked Yes radio button unchecked No
(2) found the applicant or any associated person to have been involved in a violation of any SEC or CFTC regulation or statute?
radio button checked Yesradio button unchecked No
(3) found the applicant or any associated person to have been a cause of the denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?
radio button uncheckedYesradio button checked No
(4) entered an order against the applicant or any associated person in connection with municipal advisor-related or investment-related activity?
radio button checked Yes radio button unchecked No
(5) imposed a civil money penalty on the applicant or any associated person, or ordered the applicant or any associated person to cease and desist from any activity?
radio button checked Yes radio button unchecked No

D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority ever:

(1) found the applicant or any associated person to have made a false statement or omission, or been dishonest, unfair, or unethical?
radio button checked Yes radio button unchecked No
(2) found the applicant or any associated person to have been involved in a violation of municipal advisor-related or investment-related regulations or statutes?
radio button checked Yes radio button unchecked No
(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?
radio button uncheckedYes radio button checked No
(4) entered an order against the applicant or any associated person in connection with a municipal advisor-related or investment-related activity?
radio button checked Yes radio button unchecked No
(5) denied, suspended, or revoked the registration or license of the applicant or that of any associated person, or otherwise prevented the applicant or any associated person, by order, from associating with a municipal advisor-related or investment-related business or restricted the activities of the applicant or any associated person?
radio button checked Yes radio button unchecked No

E. Has any self-regulatory organization or commodities exchange ever:

(1) found the applicant or any associated person to have made a false statement or omission?
radio button checked Yes radio button unchecked No
(2) found the applicant or any associated person to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?
radio button checked Yes radio button unchecked No
(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?
radio button uncheckedYes radio button checked No
(4) disciplined the applicant or any associated person by expelling or suspending the applicant or the associated person from membership, barring or suspending the applicant or the associated person from association with other members, or by otherwise restricting the activities of the applicant or the associated person?
radio button uncheckedYes radio button checked No

F. Revocation or Suspension:

Has the applicant or any associated person ever had an authorization to act as an attorney, accountant, or federal contractor revoked or suspended?
radio button uncheckedYes radio button checked No

G. Regulatory Proceedings:

Is the applicant or any associated person currently the subject of any regulatory proceeding that could result in a "Yes" answer to any part of Item 9-C, 9-D, or 9-E.?
radio button checked Yes radio button unchecked No

Civil Judicial Disclosure

If the answer is "Yes" to a question below, complete a Civil Judicial Action DRP.

Check all that apply.

H. (1) Has any domestic or foreign court ever:

(a) enjoined the applicant or any associated person in connection with any municipal advisor-related or investment-related activity?

radio button checked Yes radio button unchecked No

(b) found that the applicant or any associated person was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)?

radio button checked Yes radio button unchecked No

(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the applicant or any associated person by a state or other US jurisdiction or a foreign financial regulatory authority?

radio button uncheckedYes radio button checked No

  (2) Current Proceedings:

Is the applicant or any associated person the subject of any currently pending civil proceeding that could result in a "Yes" answer to any part of Item 9-H(1)?

radio button uncheckedYes radio button checked No

Item 10 Small Businesses

The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, the SEC needs to determine whether you meet the Small Business Administration's definition of "small business" for purposes of entities that provide investment and related activities. Accordingly, answer "Yes" or "No," as appropriate, to the questions below:

A. Did the applicant have annual receipts of less than $7 million during its most recent fiscal year (or during the time the applicant has been in business, if it has not completed its first fiscal year in business)?
radio button unchecked Yes radio button checked No
B. Is the applicant affiliated with any business or organization that had annual receipts of $7 million or more during its most recent fiscal year (or during the time it has been in business, if it has not completed its first fiscal year in business)?
radio button checked Yes radio button unchecked No

Form MA
APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

DOMESTIC MUNICIPAL ADVISOR EXECUTION

You must complete the following execution page to Form MA. This execution page must be signed and attached to your initial application for SEC registration and all amendments to registration.

Appointment of Agent for Service of Process

By signing this Form MA, you, the undersigned advisor, irrevocably appoint the Secretary of State or other legally designated officer, of the state in which you maintain your principal office and place of business, as your agents to receive service, and agree that such persons may be served any process, pleadings, subpoenas, or other papers in (a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and (b) any civil suit or action brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States of America or of any of its territories or possessions or of the District of Columbia, where the investigation, proceeding or cause of action arises out of or relates to or concerns municipal advisory activities of the municipal advisor.  The applicant stipulates and agrees that any such civil suit or action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

Signature

I, the undersigned, sign this Form MA on behalf of, and with the authority of, the municipal advisor.  The municipal advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA as a free and voluntary act. 

I certify that the advisor's books and records will be preserved and available for inspection as required by law.  Finally, I authorize any person having custody or possession of these books and records to make them available to federal regulatory representatives.

/s/ JOHN MAURICE O'CONNELL 
Signature:
Date:
JOHN MAURICE O'CONNELL 
Printed Name:
Advisor CRD Number (if any):
CHIEF COMPLIANCE OFFICER 
Title:

FORM MA
APPLICATION FOR "MUNICIPAL ADVISOR REGISTRATION"

NON-RESIDENT MUNICIPAL ADVISOR EXECUTION

Instructions: If you are a non-resident, you must complete these steps:

1. Execution Page: You must complete the following non-resident execution page to Form MA. This execution page must be signed and attached to your initial application for SEC registration and all amendments to registration.

2. Opinion of Counsel: You must also attach to Form MA an Opinion of Counsel. See General Instructions.

3. Form MA-NR: You must also attach to Form MA one or more executed Form MA-NR(s) for the non-resident municipal advisor applicant, and, if any, the non-resident general partner(s) and/or non-resident managing agents. See General Instructions for Form MA-NR.

Non-Resident Municipal Advisor Undertaking Regarding Books and Records

By signing this Form MA, you agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in Washington D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission, correct, current, and complete copies of any or all records that you are required to maintain by law.  This undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of attorney or any of your general partners and managing agents.

Signature

I, the undersigned, sign this Form MA on behalf of, and with the authority of, the non-resident municipal advisor. The municipal advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA as a free and voluntary act. 

I certify that the municipal advisor's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or possession of these books and records to make them available to federal regulatory representatives.  Further, attached to this Form MA as an exhibit is an opinion of counsel that the municipal advisor can, as a matter of law, provide the Commission with access to the books and records of such municipal advisor, as required by law, and that the municipal advisor can, as a matter of law, submit to inspection and examination by the Commission.  Finally, attached as an exhibit to this Form MA is one or more executed Form MA-NR(s) for the non-resident municipal advisor applicant, and, if any, the non-resident general partner(s) and/or non-resident managing agents. 

 
Signature:
Date:
 
Printed Name:
Advisor CRD Number (if any):
 
Title:

SCHEDULE A
Direct Owners and Executive Officers of the Applicant

1.
Complete Schedule A only if submitting an initial application. Schedule A asks for information about the applicant's direct owners and executive officers. Use Schedule C to amend this information.
Guidance: To determine direct ownership and executive officer status, see instruction 2 below.
Separate subparts of Schedule A must be completed for: (1) direct owners that are business entities, and (2) direct owners and executive officers who are natural persons, as follows:

• Complete Schedule A-1: "Direct Owners of Applicant - Business Entities," for owners that are organized as a business or other legal entity, such as a corporation, partnership, trust, or limited liability company.

• Complete Schedule A-2: "Direct Owners and Executive Officers of Applicant - Natural Persons," for owners who are individuals, including sole proprietors, and for executive officers.

2.
List in either Schedule A-1 or Schedule A-2 below, or both, as applicable, the full names of:
(a) If applicant is organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of the applicant's voting securities, unless applicant is a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act). Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of the applicant's voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security;
(b) If the applicant is organized as a partnership, all general partners and each limited and special partner that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital;
(c) In the case of a trust, a person that directly owns 5% or more of a class of the applicant's voting securities, or that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital, the trust and each trustee;
(d) If the applicant is organized as a limited liability company ("LLC"), (i) each member that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital, and (ii) if managed by elected managers, all elected managers; and
(e) Each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer, director and any other individuals with similar status or functions (applies in Schedule A-2 only).
3.
In the DE/FE column of Schedule A-1 below, enter "DE" if the owner is a domestic entity, or "FE" if the owner is an entity organized, incorporated or domiciled in a foreign country.
4.
Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or member. For shareholders or members, indicate the class of securities owned (if more than one is issued). In the next column indicate the date that the title or status was acquired.
5.
Ownership Codes are:
NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
6.
(a) In the Control Person column, enter "Yes" in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA, and enter "No" if the person does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.

(b) In the PR sub-column (Schedule A-1 only) enter "PR" if the owner is a public reporting company under Section 12 or 15(d) of the Exchange Act.

7.
(a) For Schedule A-1, enter the organization CRD number. If not registered with the CRD, then enter the IRS Tax Number, Employer Identification Number ("EIN"), or Foreign Business Number.

(b) For Schedule A-2, enter the individual CRD number. If not registered with the CRD, then enter 0000000.

8.
Does applicant have any indirect owners to be reported on Schedule B?   radio button unchecked Yesradio button checked No

Schedule A-1: Direct Owners of Applicant - Business Entities

BUSINESS ENTITY FULL LEGAL NAME:
THE GOLDMAN SACHS GROUP, INC. 
DE/FE: radio button checked DE radio button unchecked FE
Title or Status:
CLASS A MEMBER 
Date Title or Status Acquired:
Ownership Code:
radio button unchecked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button checked E - 75% or more
Control Person: radio button checked Yesradio button unchecked No
PR: radio button checked Yesradio button unchecked No
Organization CRD No. (If None: IRS Tax No., EIN, or Foreign Business No.)
CRD No.:
IRS Tax No.:
EIN:
 
Foreign Bus. No.:
 

Schedule A-2: Direct Owners and Executive Officers of Applicant – Natural Persons

NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
CHIEF FINANCIAL OFFICER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button unchecked YESradio button checked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:
NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
CHIEF EXECUTIVE OFFICER, MANAGER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button checked YESradio button unchecked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:
NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
MANAGER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button checked YESradio button unchecked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:
NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
CHIEF LEGAL OFFICER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button unchecked YESradio button checked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:
NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
CHIEF COMPLIANCE OFFICER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button unchecked YESradio button checked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:
NATURAL PERSON FULL LEGAL NAME
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.
Last Name:
First Name:

Middle Name:
Title or Status:
MANAGER 
Date Title or Status Acquired:
Ownership Code:
radio button checked NA - less than 5%
radio button unchecked B - 10% but less than 25%
radio button unchecked D - 50% but less than 75%
radio button unchecked A - 5% but less than 10%
radio button unchecked C - 25% but less than 50%
radio button unchecked E - 75% or more
Control Person: radio button unchecked YESradio button checked NO
Individual CRD No. (If none: enter 0000000):
CRD No.:

SCHEDULE B
Indirect Owners of the Applicant

Guidance: To determine indirect ownsership, see instructions 2 and 3 below.
1.
Complete Schedule B only if applicant is submitting an initial application. Schedule B asks for information about the applicant's indirect owners. The applicant must first complete Schedule A, which asks for information about direct owners. For purposes of Schedule B, an "indirect owner" includes any owner of 25% or more of any direct owner listed in Schedule A, and any owner of 25% or more of each such indirect owner going up the chain of ownership. Use Schedule C to amend the information in this schedule.
Separate subparts of Schedule B must be completed for: (1) indirect owners that are business entities, and (2) indirect owners who are natural persons, as follows:

• Complete Schedule B-1: "Indirect Owners of Applicant - Business Entities," for owners who are organized as business or other legal entities, such as a corporation, partnership, trust, or limited liability company.

• Complete Schedule B-2: "Indirect Owners of Applicant - Natural Persons," for individuals and sole proprietors.

2.
With respect to each direct owner listed on Schedule A 1 (business entities), list in either Schedule B-1 or Schedule B-2 below, as applicable:
(a) in the case of a direct owner listed on Schedule A-1 that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of a voting security of that corporation;

For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.

(b) in the case of a direct owner listed on Schedule A-1 that is a partnership, all general partners and each limited and special partner that has the right to receive upon dissolution, or has contributed, 25% or more of the partnership's capital;
(c) in the case of a direct owner listed on Schedule A-1 that is a trust, the trust and each trustee; and
(d) in the case of a direct owner listed on Schedule A-1 that is a limited liability company ("LLC"), (i) each member that has the right to receive upon dissolution, or has contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, each elected manager.
3.
Continue up the chain of indirect ownership listing all 25% shareholders at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act) is reached, no further ownership information need be given.
4.
In the DE/FE column in Schedule B-1 below, enter "DE" if the indirect owner is a domestic entity, or "FE" if the owner is an entity organized, incorporated or domiciled in a foreign country. Complete the next column by indicating the entity in the chain of ownership in which this indirect owner has an interest.
5.
Complete the Status column by entering the indirect owner's status as partner, trustee, elected manager, shareholder, or member. For shareholders or members, indicate the class of securities owned (if more than one is issued).
6.
Ownership Codes are:
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
F - Other (general partner, trustee, or elected manager)
7.
(a) In the Control Person column, enter "Yes" in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA, and enter "No" if the person does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.
(b) In the PR sub-column, for Schedule B-1 only, enter "PR" if the indirect owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.
8.
(a) For Schedule B-1, enter the organization CRD number. If not registered with the CRD, then enter the IRS Tax Number, Employer Identification Number ("EIN"), or Foreign Business Number.
(b) For Schedule B-2, enter the individual CRD number. If not registered with the CRD, then enter 0000000.

Schedule B-1: Indirect Owners of Applicant – Business Entities

Schedule B-2: Indirect Owners of Applicant – Natural Persons


SCHEDULE C
Amendments to Schedules A and B

1.
Use Schedule C only to amend information requested on either Schedule A or Schedule B. Refer to instructions in Schedule A and Schedule B, which also apply for this Schedule C.
2.
In the Type of Amendment column, indicate "A" (addition), "D" (deletion), or "C" (change in information about the same person).
3.
Ownership Codes are:
  • NA - less than 5%
  • A - 5% but less than 10%
  • B - 10% but less than 25%
  • C - 25% but less than 50%
  • D - 50% but less than 75%
  • E - 75% or more
  • F - Other (general partner, trustee, or elected member)

    • 4.     List below all changes to Schedule A:

    Schedule A-1: Direct Owners of Applicant - Business Entities

    Schedule A-2: Direct Owners and Executive Officers of Applicant – Natural Persons

    Schedule B-1: Indirect Owners of Applicant - Business Entities

    Schedule B-2: Indirect Owners of Applicant - Natural Persons

    SCHEDULE D

    Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.

    This is an: checkbox uncheckedINITIAL or checkbox uncheckedAMENDED Schedule D or checkbox uncheckedANNUAL UPDATE


    SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted

    List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.

    SECTION 1-D Additional Registrations of the Applicant

    Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.

    Name:
    Registration No.:
    Name:
    Registration No.:

    SECTION 1-E Additional Offices at which the Applicant’s Municipal Advisor-Related Business is Conducted

    Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant’s municipal advisor-related business is conducted other than applicant’s principal office and place of business. A separate Schedule D must be completed for each such office.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    ILLINOIS  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    A private residential address will not be included in publicly available versions of this registration form.
    Telephone number at this location:
    Fax number (if any) a this location:


    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    TEXAS  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    A private residential address will not be included in publicly available versions of this registration form.
    Telephone number at this location:
    Fax number (if any) a this location:


    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    CALIFORNIA  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    A private residential address will not be included in publicly available versions of this registration form.
    Telephone number at this location:
    Fax number (if any) a this location:


    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    CALIFORNIA  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    A private residential address will not be included in publicly available versions of this registration form.
    Telephone number at this location:
    Fax number (if any) a this location:


    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    WASHINGTON  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    A private residential address will not be included in publicly available versions of this registration form.
    Telephone number at this location:
    Fax number (if any) a this location:


    SECTION 1-F Additional Website Addresses

    List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.

    Select only one: checkbox checkedAdd checkbox uncheckedDelete checkbox uncheckedAmend
    Website Address:

    SECTION 1-I Location of Books and Records

    Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Name of entity where books and records are kept:
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    ILLINOIS  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    Telephone number at this location:
    Fax number (if any) at this location:


    For non-US telephone and fax numbers, include country code with area code and local number.
    This is (Select only one):
    checkbox checkedone of applicant’s branch offices or affiliates.
    checkbox uncheckeda third-party unaffiliated record keeper.
    checkbox uncheckedOther
    Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
    Certain books and records. 
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Name of entity where books and records are kept:
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    TEXAS  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    Telephone number at this location:
    Fax number (if any) at this location:


    For non-US telephone and fax numbers, include country code with area code and local number.
    This is (Select only one):
    checkbox checkedone of applicant’s branch offices or affiliates.
    checkbox uncheckeda third-party unaffiliated record keeper.
    checkbox uncheckedOther
    Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
    Certain books and records. 
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Name of entity where books and records are kept:
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    CALIFORNIA  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    Telephone number at this location:
    Fax number (if any) at this location:


    For non-US telephone and fax numbers, include country code with area code and local number.
    This is (Select only one):
    checkbox checkedone of applicant’s branch offices or affiliates.
    checkbox uncheckeda third-party unaffiliated record keeper.
    checkbox uncheckedOther
    Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
    Certain books and records. 
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Name of entity where books and records are kept:
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    CALIFORNIA  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    Telephone number at this location:
    Fax number (if any) at this location:


    For non-US telephone and fax numbers, include country code with area code and local number.
    This is (Select only one):
    checkbox checkedone of applicant’s branch offices or affiliates.
    checkbox uncheckeda third-party unaffiliated record keeper.
    checkbox uncheckedOther
    Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
    Certain books and records. 
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Name of entity where books and records are kept:
    Street Address 1:
    Street Address 2:


    City:
    State/Country:


    WASHINGTON  
    Postal Code:


    Is this address a private residence? checkbox unchecked
    Telephone number at this location:
    Fax number (if any) at this location:


    For non-US telephone and fax numbers, include country code with area code and local number.
    This is (Select only one):
    checkbox checkedone of applicant’s branch offices or affiliates.
    checkbox uncheckeda third-party unaffiliated record keeper.
    checkbox uncheckedOther
    Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).
    Certain books and records. 

    SECTION 1-J Registration with Foreign Financial Regulatory Authorities

    List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    CHINA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    CHINA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    CHINA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    INDIA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    COLOMBIA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    SWITZERLAND  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    UNITED ARAB EMIRATES  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    AUSTRALIA  
    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    English Name of Foreign Financial Regulatory Authority:
    Foreign Registration No. (if any):
    English Name of Country:
    SINGAPORE  

    SECTION 1-K Business Affiliates of the Applicant

    Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.

    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    UNITED KINGDOM  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    UNITED KINGDOM  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    UNITED KINGDOM  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    JAPAN  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    MAURITIUS  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox checkedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    AUSTRALIA  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    AUSTRALIA  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    AUSTRALIA  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox checkedUS State or Other US Jurisdiction:
    (specify):
    NEW YORK  
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    (specify):
    MAURITIUS  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    (specify):
    MAURITIUS  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
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    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox checked Foreign Country Name (in English):
    (specify):
    KOREA, REPUBLIC OF  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
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    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
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    checkbox unchecked Foreign Country Name (in English):
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    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button checked Yes radio button uncheckedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox checked Foreign Country Name (in English):
    (specify):
    MAURITIUS  
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     
    Name of Affiliate:
    1. Does the affiliate have an applicable federal, state, or foreign registration?
    radio button unchecked Yes radio button checkedNo
    2. Provide the following details:
    (a) Name of Agency Issuing Registration (in English):
    (b) Registration No., if any:
    (c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
    checkbox uncheckedUS Federal
    checkbox uncheckedUS State or Other US Jurisdiction:
    (specify):
     
    checkbox unchecked Foreign Country Name (in English):
    (specify):
     

    SECTION 3 Successions

    Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.

    SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant’s Behalf

    Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant’s behalf. A separate Schedule D must be completed for each such firm or natural person.

    SECTION 4-E Employees That Also Do Business Independently on the Applicant’s Behalf as Affiliates of the Applicant

    SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)

    If you checked Item 5-B.2 describe the applicant’s primary business (not the applicant’s municipal advisor-related business):

     

    SECTION 6 Financial Industry and Other Activities of Associated Persons

    The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CHINA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SOUTH AFRICA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MAURITIUS  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    HONG KONG  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    TAIWAN, PROVINCE OF CHINA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    TAIWAN, PROVINCE OF CHINA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    THAILAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    TAIWAN, PROVINCE OF CHINA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox checked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ALBERTA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRITISH COLUMBIA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ONTARIO, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    QUEBEC, CANADA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox checked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ALBERTA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRITISH COLUMBIA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MANITOBA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ONTARIO, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SASKATCHEWAN, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    IRELAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEWFOUNDLAND, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    QUEBEC, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    PRINCE EDWARD ISLAND, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEW BRUNSWICK, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NOVA SCOTIA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEW BRUNSWICK, CANADA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ALBERTA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRITISH COLUMBIA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MANITOBA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEW BRUNSWICK, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NOVA SCOTIA, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ONTARIO, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    GERMANY  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    ITALY  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NETHERLANDS  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    QUEBEC, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    FRANCE  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    IRELAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    POLAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    QATAR  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED ARAB EMIRATES  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SOUTH AFRICA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SPAIN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SWEDEN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SWITZERLAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SASKATCHEWAN, CANADA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox checked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox checked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    GERMANY  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SWITZERLAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SWITZERLAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SWITZERLAND  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CANADA (FEDERAL LEVEL)  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox checked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRAZIL  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRAZIL  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRAZIL  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    FRANCE  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    FRANCE  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SAUDI ARABIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox checked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox checked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox checked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox checked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox checked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox checked Yes checkbox unchecked No
    (b) Are the applicant and the associated person under common control? checkbox unchecked Yes checkbox checked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox checked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BERMUDA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NETHERLANDS  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CHINA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    JAPAN  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRAZIL  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    BRAZIL  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CHINA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    RUSSIAN FEDERATION  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    RUSSIAN FEDERATION  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    RUSSIAN FEDERATION  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEW ZEALAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    NEW ZEALAND  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MEXICO  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MEXICO  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CHINA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox checked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    CHINA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    HONG KONG  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MALAYSIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    UNITED KINGDOM  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    HONG KONG  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    AUSTRALIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    KOREA, REPUBLIC OF  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox checked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox checked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    SINGAPORE  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox checked Yes checkbox unchecked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MAURITIUS  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    MAURITIUS  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  
    English Name of Foreign Financial Regulatory Authority:
    Registration Number (if any): (Need to capture the right value from schema)
    English Name of Country:
    INDIA  

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox unchecked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox checked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    Select only one: checkbox checkedAddcheckbox uncheckedDelete checkbox uncheckedAmend
    Legal Name of Associated Person:
    Primary Business Name of Associated Person:

    A. Associated person is a: Check all that apply.

    checkbox checked (1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
    checkbox unchecked (2) Investment company (including mutual funds)
    checkbox unchecked (3) Investment adviser (including financial planners)
    checkbox unchecked (4) Swap dealer
    checkbox unchecked (5) Security-based swap dealer
    checkbox unchecked (6) Major swap participant
    checkbox unchecked (7) Major security-based swap participant
    checkbox unchecked (8) Commodity pool operator (whether registered or exempt from registration)
    checkbox unchecked (9) Commodity trading advisor (whether registered or exempt from registration)
    checkbox unchecked (10) Futures commission merchant
    checkbox unchecked (11) Banking or thrift institution
    checkbox unchecked (12) Trust company
    checkbox unchecked (13) Accountant or accounting firm
    checkbox unchecked (14) Attorney or law firm
    checkbox unchecked (15) Insurance company or agency
    checkbox unchecked (16) Pension consultant
    checkbox unchecked (17) Real estate broker or dealer
    checkbox unchecked (18) Sponsor or syndicator of limited partnerships
    checkbox unchecked (19) Engineer or engineering firm
    checkbox unchecked (20) Other municipal advisor

    B. Control Relationships and Foreign Relations


    (1) Control Relationships

    (a) Does the applicant control or is it controlled by the associated person? checkbox unchecked Yes checkbox checked No
    (b) Are the applicant and the associated person under common control? checkbox checked Yes checkbox unchecked No

    (2) Foreign Financial Regulatory Authority Registration

    (a) Is the associated person registered with a foreign financial regulatory authority? checkbox unchecked Yes checkbox checked No
    (b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

    SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)

    Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.



    Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.

    (1) Full legal name of the public reporting company:

    (2) The public reporting company’s EDGAR CIK number:

    (3) The Schedules where the public reporting company was reported: Check all that apply.

    checkbox checkedSchedule A
    checkbox uncheckedSchedule B
    checkbox uncheckedSchedule C, Section 4
    checkbox uncheckedSchedule C, Section 5
    checkbox uncheckedSchedule D, Section 8-A

    Schedule D: MISCELLANEOUS


    The space below may be used to explain a response to an Item or to provide any other information.

    Item 1.I Location of Books and Records: In addition to the five locations listed in Item 1(1), the applicant may maintain certain books and records at the following locations: 222 South Main Street Salt Lake City, UT 84101 111 South Main Street Salt Lake City, UT 84111 3414 Peachtree Street, N.E. Atlanta, GA 30326 Item 1.K: Business Affiliates of the Applicant The applicant is an operating subsidiary of The Goldman Sachs Group, Inc. ("GS Group"), which is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The number of the affiliates of the applicant is extensive, and due to the breadth of their global operations, the firm is including in response to Item 1.K. the direct owners of the applicant and the significant subsidiaries of the parent company of the applicant, GS Group, as provided in the most recent Form 10-K of GS Group ("Specified Affiliates"). Certain Specified Affiliates are registered or licensed to trade or advise in securities or derivatives, and/or are members of a securities or derivatives exchange, SRO or similar organization, and/or rely on exemptions from such registrations, licenses or exemptions. Although we have listed the primary regulators where applicable in response to Item 1.K(2), it is impractical to list all federal, state or foreign registrations of such affiliates, since this may change from time to time in the ordinary course of business. Item 4.F: Information About Applicant's Business; Clients The applicant has identified one client in Item 4.F. However, there are instances during the year where the applicant is not engaged as a municipal advisor but may be involved in municipal advisory activity with respect to non-municipal issuers or obligated persons. Item 7.A(3): Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee Transactions; Proprietary Interest in Municipal Advisory Client or Solicitee Transactions Although the applicant has responded affirmatively to Item 7.A.(3), it has not and does not intend to enter into derivatives contracts with the one municipal entity client with whom the applicant is engaged as a municipal advisor. 

    CRIMINAL ACTION DISCLOSURE REPORTING PAGE (MA)

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-A or 9-B of Form MA.

    Check item(s) being responded to:
    checkbox unchecked9-A(1)checkbox unchecked9-A(2)checkbox unchecked9-B(1)checkbox checked9-B(2)

    How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-A(1), 9-A(2), 9-B(1), and/or 9-B(2). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

    How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) must be provided electronically if not previously submitted.

    CRIMINAL ACTION DRP PART 1

    Check all that apply, except where noted:

    The person (s) or entity(ies) for whom this DRP is being filed is (are) the:

               radio button unchecked Applicant (the municipal advisory firm )
               radio button unchecked Applicant and one or more of the applicant's associated person(s)
               radio button checked One or more of applicant's associated person(s)

    1. Applicant

              (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked Yes radio button checked No
              (b) The reason the DRP should be removed is:
                                     radio button unchecked The applicant is registered or has submitted an application for registration that is currently pending and the event or proceeding was resolved in the applicant’s favor.
                                     radio button unchecked The DRP was filed in error.
                                     radio button unchecked The event or proceeding occurred more than ten years ago.
    Explain the circumstances:

     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons ?
    radio button checked Yes radio button unchecked No
              
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button uncheckedFirmradio button checkedNatural Person

    Last Name

    First Name

    Middle Name

    Suffix
    The associated person is: radio button unchecked registered with the SECradio button checked
              
               SEC Registration No.
              
               CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated persons ?
    radio button unchecked Yes radio button checked No
    The reason the DRP should be removed is:
               radio button unchecked The associated persons (s) is no longer associated with the advisor.
               radio button unchecked The event or proceeding was resolved in the associated person's favor
               radio button unchecked The event or proceeding occurred more than ten years ago.
               radio button unchecked The DRP was filed in error.

    Explain the circumstances:
     


    Associated Person(s)



    B. DRP Filed Elsewhere for this Event:

    Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?
    radio button checkedYes radio button uncheckedNo
    If the answer is "Yes", Provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked1. Form ADV, BD, or U4 Filing: For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
                Name on Registration:
    MARK ALEXANDER SOMERS 
     
                CRD No.:                      
    Disclosure Occurrence No.:
    checkbox unchecked2. Form MA Filing: For a DRP filed on EDGAR with a Form MA, provide the following information:
                Name on Registration:
     
       
                MA Registration Number:                     
                Date of filing that contains the DRP (MM/DD/YYYY):
                Accession number of the filing:
               checkbox unchecked3. Form MA-I Filing: For a DRP filed on EDGAR with a Form MA-I, provide the following information:
                Name of individual:           
                MA-I File Number:                 
                Date of filing that contains the DRP (MM/DD/YYYY):
                Accession number of the filing:

    Note: The completion of all or any part of this form does not relieve the municipal advisor or associated person of its obligation to update its IARD or CRD records.

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-A or 9-B of Form MA.

    Check item(s) being responded to:
    checkbox unchecked9-A(1)checkbox unchecked9-A(2)checkbox checked9-B(1)checkbox checked9-B(2)

    How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-A(1), 9-A(2), 9-B(1), and/or 9-B(2). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

    How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) must be provided electronically if not previously submitted.

    CRIMINAL ACTION DRP PART 1

    Check all that apply, except where noted:

    The person (s) or entity(ies) for whom this DRP is being filed is (are) the:

               radio button unchecked Applicant (the municipal advisory firm )
               radio button unchecked Applicant and one or more of the applicant's associated person(s)
               radio button checked One or more of applicant's associated person(s)

    1. Applicant

              (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked Yes radio button checked No
              (b) The reason the DRP should be removed is:
                                     radio button unchecked The applicant is registered or has submitted an application for registration that is currently pending and the event or proceeding was resolved in the applicant’s favor.
                                     radio button unchecked The DRP was filed in error.
                                     radio button unchecked The event or proceeding occurred more than ten years ago.
    Explain the circumstances:

     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons ?
    radio button checked Yes radio button unchecked No
              
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checkedFirmradio button uncheckedNatural Person

    Last Name

    First Name

    Middle Name

    Suffix
    The associated person is: radio button unchecked registered with the SECradio button checked
              
               SEC Registration No.
              
               CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated persons ?
    radio button unchecked Yes radio button checked No
    The reason the DRP should be removed is:
               radio button unchecked The associated persons (s) is no longer associated with the advisor.
               radio button unchecked The event or proceeding was resolved in the associated person's favor
               radio button unchecked The event or proceeding occurred more than ten years ago.
               radio button unchecked The DRP was filed in error.

    Explain the circumstances:
     


    Associated Person(s)



    B. DRP Filed Elsewhere for this Event:

    Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?
    radio button checkedYes radio button uncheckedNo
    If the answer is "Yes", Provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked1. Form ADV, BD, or U4 Filing: For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
                Name on Registration:
    GOLDMAN, SACHS & CO. 
     
                CRD No.:                      
    Disclosure Occurrence No.:
    checkbox unchecked2. Form MA Filing: For a DRP filed on EDGAR with a Form MA, provide the following information:
                Name on Registration:
     
       
                MA Registration Number:                     
                Date of filing that contains the DRP (MM/DD/YYYY):
                Accession number of the filing:
               checkbox unchecked3. Form MA-I Filing: For a DRP filed on EDGAR with a Form MA-I, provide the following information:
                Name of individual:           
                MA-I File Number:                 
                Date of filing that contains the DRP (MM/DD/YYYY):
                Accession number of the filing:

    Note: The completion of all or any part of this form does not relieve the municipal advisor or associated person of its obligation to update its IARD or CRD records.

    REGULATORY ACTION DISCLOSURE REPORTING PAGE (MA)

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1706941 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1701795 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1701169 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1691191 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1691526 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1684048 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1691192 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. ARON & COMPANY 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1682653 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1679917 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1679237 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1663602 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1663601 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1661012 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1653947 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1653357 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1651028 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1651022 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1651017 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1650268 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1641244 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1639393 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1638242 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1636603 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1632467 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1631806 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1630993 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1630823 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    MTGLQ INVESTORS, L.P. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1630393 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1629669 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1629490 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1628920 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1628249 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1628179 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS SAUDI ARABIA 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1625434 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1620974 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1610304 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS STRUCTURED PRODUCTS (ASIA) LIMITED 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1608675 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1607252 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1606294 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1606247 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1606244 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1605776 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1600171 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1592388 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1592385 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1592366 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1589895 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1589894 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1589893 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1589891 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1587471 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1587470 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1587469 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS AUSTRALIA PTY LDT (F/K/A GOLDMAN SACHS & PARTNERS AUSTRALIA PTY LTD) 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1578762 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1573082 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GS EQUITY MARKETS, L.P. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1573079 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1570440 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1570439 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1570438 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1569959 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1567172 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1565186 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1565185 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1561940 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1559618 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1557233 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1550319 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548481 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548480 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548478 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548477 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548475 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1548472 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1544689 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1542832 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1541961 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1541937 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1537314 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1537313 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1537312 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1537311 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1535415 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1530250 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1530249 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1527912 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1525446 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1525353 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1523657 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1520007 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519611 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519610 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519609 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519608 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519607 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519606 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519605 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519604 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1519484 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1513680 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1512499 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511443 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511264 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511263 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511261 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511259 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511258 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511257 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1511255 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1510601 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1507717 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1502496 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1478214 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1463922 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1457278 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1447852 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1437306 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1435202 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1431855 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1421948 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1421094 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1397110 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1392886 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1389294 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1376440 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1367197 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1360383 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1346223 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1346219 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LTD. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1339473 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1335354 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1322019 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1316174 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1313961 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1307228 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1305157 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1304418 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS ASSET MANAGEMENT CO. LTD. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1289935 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1283063 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1278770 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1276046 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1266079 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1263380 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1260637 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1248000 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1245304 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1244733 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1244732 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1244658 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1235486 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1215429 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1214960 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1214958 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1212973 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1211564 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1210691 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1210589 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1205044 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197945 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197944 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197943 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197941 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197939 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197938 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197937 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197936 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197935 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197934 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197931 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197927 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197925 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197922 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197921 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197920 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197919 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197918 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197917 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197916 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197915 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197914 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197913 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197912 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197911 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197909 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197908 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197908 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197907 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197906 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197903 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197902 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197901 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197900 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197899 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197898 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197897 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1197896 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1189552 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1181801 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1180899 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1176517 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1176153 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1175175 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1175074 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1168144 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1164608 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1164027 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1163973 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1157526 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1147835 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1135516 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1134408 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1120336 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1113220 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1111943 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1110601 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1110105 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1095211 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1083395 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1017238 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    990325 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    968109 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    883564 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    833034 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    737029 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    718759 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    702438 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684893 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684890 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684889 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684763 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684753 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684745 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684730 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684728 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684706 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684704 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684690 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684687 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684685 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684684 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684683 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684682 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684681 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    684679 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. ARON & CO. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    683161 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683148 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683126 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683114 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683107 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683096 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    683015 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    682961 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. ARON 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    684691 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    682566 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. ARON 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    681549 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    681512 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. ARON 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    681504 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    681492 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    681465 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    681449 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    669728 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    322393 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    256998 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    242881 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    232241 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    229970 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    228820 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    228812 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    228801 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    182184 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    150205 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    137459 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110711 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110709 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110706 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110705 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110704 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110703 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110702 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110701 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110700 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110699 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110698 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110697 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110695 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110691 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110690 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    110688 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1447836 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1333969 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1279144 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1207507 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1193177 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    REDI GLOBAL TECHNOLOGIES LLC 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    REDI GLOBAL TECHNOLOGIES LLC 
    Name on Registration

    CRD No.
    1191091 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1706267 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1698850 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1688637 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1671316 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1667265 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1664844 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1651843 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1637956 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1620473 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1619774 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1602647 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1600173 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1553138 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1525283 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1517176 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1516761 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1508645 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1507022 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1503864 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1502488 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1497183 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1496139 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1496074 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1478504 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1478493 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1450046 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1447845 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1446357 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1431121 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1384098 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1378532 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1376675 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1344306 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1343890 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1337577 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1324747 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1317710 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1317502 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1310619 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1299422 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1298225 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1282996 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1271230 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1244979 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1244871 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1232080 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1219869 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1218758 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1168166 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1148903 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1148773 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1130169 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1127484 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1116587 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1086547 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1073363 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1045747 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1044130 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1040975 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1027107 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1019301 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1013208 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    1012067 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    979334 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    869628 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    787476 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    720817 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    690486 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    685903 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    608764 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    608763 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591959 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591957 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591954 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591953 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591950 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591949 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591943 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591940 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591931 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591928 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591923 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591920 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591916 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591914 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591912 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591911 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591909 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591908 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591906 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591904 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591900 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591898 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591897 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591895 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591894 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591892 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591891 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591890 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    591889 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    322334 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    322313 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    322252 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    322214 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    319160 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    285001 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    278540 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    240313 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    229442 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    229442 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    203281 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    150192 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    146094 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    146092 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    137406 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110434 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110431 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110430 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110429 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110428 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110427 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110426 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110425 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110424 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110423 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110422 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110421 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110420 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110419 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110418 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110417 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110416 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110415 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110414 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110413 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS EXECUTION & CLEARING, L.P. 
    Name on Registration

    CRD No.
    110406 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    THE GOLDMAN SACHS GROUP, INC. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1581311 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS BANK USA 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1581311 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 
    Name on Registration

    CRD No.
    1712383 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1712382 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1712381 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1710211 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN, SACHS & CO. 

    Name on Registration

    CRD No123.
    1707555 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1714036 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1716262 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1717554 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1724299 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1726158 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1729719 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1734104 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1734105 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1734107 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1734108 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1734110 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs International 
    Name on Registration

    CRD No.
    1734112 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs International 
    Name on Registration

    CRD No.
    1734114 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1711713 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1723322 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1734087 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1734088 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1734089 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Futures U.S., Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Futures U.S., Inc. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2013-016/028 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Futures U.S., Inc. ("IFUS") Compliance Department issued a Notice of Summary Fine, dated November 19, 2014, to Goldman, Sachs & Co. (the "Firm"), stating that: (i) on February 11, 2013 and March 11, 2013, the Firm failed to enter certain Crossing Orders ("CO") for certain opposing orders submitted simultaneously by a common account manager on behalf of accounts with separate beneficial owners; and (ii) specifically, on each date, the Firm entered certain opposing orders without the use of IFUS CO functionality, resulting in certain futures spreads transacting against one another, in violation of IFUS Rule 4.02(i)(2). 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    The Summary Fine, in the amount of $15,000, was paid by submission of a wire on November 28, 2014. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Bourse de Montreal Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Bourse de Montreal Inc. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    12-011-DISC 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    In an Originating Notice to Goldman, Sachs & Co. (the "Firm") dated June 18, 2013, The Bourse de Montreal Inc. (the "Bourse") alleged that, during the period from December 1, 2005 to June 30, 2012, the Firm provided certain personnel access to the electronic trading system of the Bourse without having obtained the prior approval of the Bourse, in alleged contravention of section A) of Article 6366 of the Rules of the Bourse. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    On November 25, 2014, the Disciplinary Committee of the Bourse (the "Committee") informed the Firm of the Committee's approval of an offer of settlement (the "Offer of Settlement") negotiated between the staff of the Regulatory Division of the Bourse and the Firm. The Committee approved the Offer of Settlement on November 14, 2014. In the Offer of Settlement, the Firm agreed to the payment of a fine in the amount of CAD$65,000, as well as an additional amount of CAD$6,500 for costs, which amount was paid by submission of a wire on December 18, 2014. While the actual payment was made in Canadian dollars, using the most recently published Federal Reserve foreign exchange rate of CAD$1.1538:USD$1 as of December 12, 2014, the equivalent US Dollar value on December 12, 2014 was USD$61,969.15, which amount is reflected in Item 12.B. above. As indicated in the Committee's approval of the Offer of Settlement, upon learning of certain unapproved access to the electronic trading system of the Bourse, the Firm took corrective measures, and the Bourse noted that the problem was corrected. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Chicago Board Options Exchange, Incorporated 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Chicago Board Options Exchange, Incorporated 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    14-0047 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox checked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    The Chicago Board Options Exchange, Incorporated ("CBOE") alleged that, during the approximate period from in or about January 2009 through in or about February 2011, Goldman, Sachs & Co. (the "Firm") failed: (i) on certain occasions, to grant priority to the highest bid and/or lowest offer when such bid or offer was available, and to use due diligence to execute certain orders at the best prices available, in alleged violation of CBOE Rules 6.45A, 6.45B and 6.73; and (ii) to assure compliance with such rules, in alleged violation of CBOE Rule 4.2. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Consent which was approved by the CBOE Business Conduct Committee on December 1, 2014, and on December 9, 2014, the Firm submitted a wire in payment of the fine in the amount of $20,000. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. Aron & Company 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    J. ARON & COMPANY

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox checked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox checked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Futures U.S., Inc.   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2013-155 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE FUTURES U.S., INC. ("IFUS") BUSINESS CONDUCT COMMITTEE ("BCC") DETERMINED THAT J. ARON & COMPANY ("J. ARON") MAY HAVE, IN ONE (1) INSTANCE, EXCEEDED THE SPOT MONTH SPECULATIVE POSITION LIMIT ESTABLISHED BY IFUS IN AN ENERGY FUTURES CONTRACT DURING CONTRACT EXPIRATION, IN ALLEGED VIOLATION OF IFUS RULE 6.20(B).

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    WITHOUT ADMITTING OR DENYING ANY VIOLATION OF IFUS RULES, J. ARON ENTERED INTO A SETTLEMENT AGREEMENT, WHICH WAS APPROVED BY THE BCC, IN WHICH J. ARON: (I) AGREED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF IFUS RULE 6.20(B); AND (II) CONSENTED TO A MONETARY PAYMENT OF $82,064 IN THE AGGREGATE, CONSISTING OF A FINE IN THE AMOUNT OF $20,000, AND DISGORGEMENT OF PROFITS IN THE AMOUNT OF $62,064, BOTH OF WHICH WERE PAID BY SUBMISSION OF A WIRE ON NOVEMBER 26, 2014. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Financial Industry Regulatory Authority, Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Financial Industry Regulatory Authority, Inc. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2011030683301 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox checkedOther Principal Product Type specify:

    Initial Public Offering 
                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement alleged that in connection with efforts by Goldman, Sachs & Co. (the "Firm") and other broker-dealers to participate in a company's planned initial public offering (IPO), the Firm: (a) allowed a research analyst to participate in the solicitation of certain investment banking business; (b) offered favorable research coverage to induce the receipt of investment banking business; and (c) failed to adopt and implement policies and procedures reasonably designed to prevent violations of Rule NASD Rule 2711, in alleged violation of NASD Rules 2711(c)(4), 2711(e), and 2711(i), respectively, and each in alleged violation of FINRA Rule 2010. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox checkedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 10, 2014, and on December 18, 2014, the Firm submitted a wire in payment of a fine in the amount of $5,000,000. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1739197 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox checked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Financial Industry Regulatory Authority, Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Financial Industry Regulatory Authority, Inc. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2012031743301 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman, Sachs & Co. (the "Firm") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008). 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox checkedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, the Firm submitted a wire in payment of a fine in the amount of $18,750. 



    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Financial Industry Regulatory Authority, Inc.

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Financial Industry Regulatory Authority, Inc.   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2012031743301 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman Sachs Execution & Clearing, LP. ("GSEC") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008).

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox checkedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the allegations or findings, GSEC consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, GSEC submitted a wire in payment of a fine in the amount of $18,750. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox checked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox checked  9-C(4)
    checkbox checked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox checkedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    U.S. SECURITIES AND EXCHANGE COMMISSION 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox checked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    U.S. SECURITIES AND EXCHANGE COMMISSION 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    3-16665 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox checked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") DID NOT HAVE A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL, REGULATORY, AND OTHER RISKS OF MARKET ACCESS IN RELATION TO ITS LISTED EQUITY OPTIONS BUSINESS, WHICH CONTRIBUTED TO THE ENTRY OF ERRONEOUS ELECTRONIC OPTIONS ORDERS ON MULTIPLE OPTIONS EXCHANGES ON AUGUST 20, 2013. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER IN RELATION TO ITS CONTROLS AND SUPERVISORY PROCEDURES ADDRESSING (I) THE ENTRY OF ORDERS THAT EXCEED APPROPRIATE PRE-SET CREDIT OR CAPITAL THRESHOLDS; (II) THE ENTRY OF ERRONEOUS ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS; AND (III) THE MANAGEMENT OF SOFTWARE CHANGES THAT IMPACT ORDER FLOW. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox checkedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox checked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 30, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15(C)(3) OF THE EXCHANGE ACT AND RULE 15C3-5 THEREUNDER; (II) IS CENSURED; AND (III) PAID A TOTAL CIVIL MONEY PENALTY OF $7 MILLION ON JUNE 30, 2015. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox checked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox checked  9-C(4)
    checkbox checked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox checkedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    U.S. SECURITIES AND EXCHANGE COMMISSION 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox checked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    U.S. SECURITIES AND EXCHANGE COMMISSION 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    3-16619 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox checked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    THE U.S. SECURITIES AND EXCHANGE COMMISSION (THE "SEC") HAS ALLEGED THAT GOLDMAN, SACHS & CO. (THE "FIRM") CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND, AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN THE FIRM OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGED THAT THE FIRM WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. THE VIOLATIONS DISCUSSED IN THE ORDER WERE SELF-REPORTED BY THE FIRM TO THE SEC PURSUANT TO THE DIVISION OF ENFORCEMENT'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox checkedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button checked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox checked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox checked Other Sanctions Ordered (list each such additional sanction):

    THE ORDER ALSO REQUIRES THE FIRM TO RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF THE FIRM'S POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE AND REQUIRES THE FIRM TO ADOPT THE INDEPENDENT CONSULTANT'S RECOMMENDATIONS (UNLESS THE SEC FINDS A RECOMMENDATION UNDULY BURDENSOME, IMPRACTICAL, OR INAPPROPRIATE, IN WHICH CASE THE FIRM SHALL NOT BE REQUIRED TO ABIDE BY, ADOPT, OR IMPLEMENT THAT RECOMMENDATION). 


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    WITHOUT ADMITTING OR DENYING THE VIOLATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ON JUNE 18, 2015 BY THE SEC PURSUANT TO WHICH THE FIRM: (I) SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933; (II) PAID A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 ON JUNE 25, 2015; AND (III) SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2013037909601 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox checked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button checked Yes radio button unchecked No

           If "Yes," describe each additional product type:  

    AGENCY DEBT AND SECURITIZED PRODUCTS 

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. ("FINRA") DEPARTMENT OF MARKET REGULATION ALLEGED THAT: (I) GOLDMAN, SACHS & CO. ("GSCO") FAILED TO TIMELY REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE"), CERTAIN TRANSACTIONS IN (A) TRACE-ELIGIBLE CORPORATE DEBT SECURITIES, DURING THE PERIOD OF APRIL 1, 2013 THROUGH JUNE 30, 2013 IN ALLEGED VIOLATION OF FINRA RULES 6730(A) AND 2010; AND (B) SECURITIZED PRODUCTS AND AGENCY DEBT SECURITIES, DURING THE PERIOD OF JANUARY 1, 2014 THROUGH MARCH 31, 2014, EACH IN ALLEGED VIOLATION OF FINRA RULE 6730(A), AND WITH REGARD TO THE TRACE-ELIGIBLE SECURITIZED PRODUCTS, IN ALLEGED VIOLATION OF FINRA RULE 2010; AND (II) GSCO'S WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE, IN ALLEGED VIOLATION OF FINRA RULE 2010 AND NASD RULE 3010. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox checkedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS, THE FIRM CONSENTED TO A CENSURE, FINE AND UNDERTAKING AND ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WHICH WAS ACCEPTED BY FINRA ON JUNE 3, 2015, AND ON JULY 9, 2015, THE FIRM SUBMITTED A WIRE IN PAYMENT OF THE FINE IN THE AMOUNT OF $185,000. IN THE UNDERTAKING, THE FIRM CONSENTED TO PROVIDE THREE REPORTS, WRITTEN AND ORAL, TO FINRA ON DATES THAT ARE NO MORE THAN 3 MONTHS, 6 MONTHS, AND 12 MONTHS AFTER THE DATE OF THE NOTICE OF ACCEPTANCE OF THE AWC, REGARDING THE EFFECTIVENESS OF THE FIRM'S WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO TIMELY SUBMISSION OF ACCURATE REPORTS TO TRACE. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Saudi Arabia 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Capital Market Authority of the Kingdom of Saudi Arabia

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Capital Market Authority of the Kingdom of Saudi Arabia   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    161/4/2015 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    In a letter dated June 17, 2015 to Goldman Sachs Saudi Arabia ("GSSA") from the Kingdom of Saudi Arabia Capital Market Authority (the "CMA"), the CMA informed GSSA of a CMA decision alleging that GSSA was late in notifying the CMA of the resignation of GSSA's chief executive officer, in alleged violation of Article 15 Paragraph A of the CMA Licensees Regulations.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox checked Other Sanctions Ordered (list each such additional sanction):

    The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard. 


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    GSSA agreed to the payment of a financial penalty to the CMA in the amount of 10,000 Saudi Arabian Riyals (SAR), which was paid by submission of a wire on July 5, 2015. While the actual payment was made in Saudi Arabian Riyals, using the foreign exchange spot rate of SAR1:USD0.2666347 as of July 6, 2015, the equivalent U.S. Dollar value on July 5, 2015 was US$2,666.35, which amount is reflected in Item 12.B. above. The CMA's decision stipulated the need for GSSA to discuss the matter of the violation at the next meeting of the Board of Directors of GSSA and to notify the CMA of the Board's response in this regard. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Chicago Board Options Exchange, Incorporated 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Chicago Board Options Exchange, Incorporated 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    15-0005 / 20150442706 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Chicago Board Options Exchange, Incorporated ("CBOE") Business Conduct Committee (the "Committee") alleged that Goldman, Sachs & Co. (the "Firm") failed to appropriately register with the CBOE: (i) on various dates between on or about November 5, 2011 through on or about October 10, 2014, five (5) Associated Persons as a Proprietary Trader (PT), and (ii) by November 5, 2011, its Chief Compliance Officer as a Proprietary Trader Compliance Officer (CT), each in alleged violation of CBOE Rule 3.6A. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $15,000. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    C2 Options Exchange, Incorporated 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    C2 Options Exchange, Incorporated 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    C2 15-0001 / 20150442481 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    C2 Options Exchange, Incorporated ("C2") Business Conduct Committee (the "Committee") alleged that, from on or about March 27, 2013 through on or about July 11, 2014, Goldman, Sachs & Co. (the "Firm") failed to appropriately register its Financial and Operations Principal as a Financial and Operations Principal (FN) with C2, in alleged violation of C2 Rule 3.4. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the rule violations, allegations or findings, the Firm submitted an offer of settlement to the Committee. On July 16, 2015, the Committee issued a decision accepting the offer of settlement, and on July 30, 2015, the Firm submitted a wire in payment of the fine in the amount of $2,500. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Clear Credit LLC

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Clear Credit LLC   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2015-404b-021 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to submit certain single name end of day prices and certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button checked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

    ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    ICC made a summary assessment against GSI in the amount of $127,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Clear Credit LLC 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Clear Credit LLC 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2015-404b-020 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Clear Credit LLC ("ICC") alleged that during the month of June 2015, Goldman, Sachs & Co. (the "Firm") failed to submit certain index prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button checked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

    ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    ICC made a summary assessment against the Firm in the amount of $19,000, which amount will be direct debited in the next ICC monthly clearing fee invoice. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Commodity Exchange

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Commodity Exchange   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    COMEX 14-9777-BC 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox checked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button checked YES radio button unchecked No

           If "Yes," describe each additional product type:     

    Options

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    A panel of the Commodity Exchange ("COMEX") Business Conduct Committee (the "Panel") accepted a negotiated settlement offer made by Goldman Sachs Execution & Clearing, L.P. ("GSEC") which concerned allegations that two GSEC customers with different beneficial ownership requested that GSEC process the purchase and sale of their gold futures and options book, and that on February 27, 2013, GSEC processed their transaction as a transfer of the relevant futures and options contracts between their accounts at GSEC without obtaining the approval of COMEX, in alleged violation of COMEX Rule 853.A.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the rule violations, allegations or findings, GSEC submitted a settlement offer to the Panel. On July 16, 2015, the Panel accepted the settlement offer and issued a decision effective on July 20, 2015. On July 27, 2015, GSEC submitted a wire in payment of the fine in the amount of $110,000. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Government Debt Management Agency Private Company Limited by Shares

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Government Debt Management Agency Private Company Limited by Shares   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    None 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox checked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Government Debt Management Agency Private Company Limited by Shares ("AKK") alleged that during the month of June 2015, Goldman Sachs International ("GSI") failed to meet primary dealer quoting obligations in accordance with the Agency Contract between GSI and AKK and the relevant market making rules.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    The AKK imposed a fine on GSI in the amount of HUF$500,000, which was paid by submission of a wire on August 13, 2015. While the actual payment was made in Hungarian Forints, using the foreign exchange spot rate of HUF$0.0035898:USD$1 as of August 13, 2015, the equivalent U.S. Dollar value on August 13, 2015 was USD$1794.90, which amount is reflected in Item 12.B. above. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs do Brasil Banco Multiplo S.A. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ANBIMA - Brazilian Financial and Capital Markets Association

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ANBIMA - Brazilian Financial and Capital Markets Association   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    005/2015 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Brazilian Financial and Capital Markets Association ("ANBIMA") filed a Proceeding for Investigation of Irregularities ("PAI") to investigate whether Goldman Sachs do Brasil Banco Multiplo S.A. ("GSBR") may have violated Article 27, Paragraph 3, V of the ANBIMA Code of Regulation and Best Practices to Investment Funds (Codigo ANBIMA de Regulacao e Melhores Praticas para Fundos de Investimento, "ANBIMA's Code of Funds") in connection with GSBR's tax treatment of payments of interest on capital in connection with stock lending trades involving a Brazilian investment fund managed by GSBR (the "Fund").

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox checked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the rule violation, ANBIMA and GSBR entered into a settlement agreement on July 22, 2015, in which GSBR agreed to: (i) ensure full compliance with all provisions of the ANBIMA's Code of Funds, specifically with respect to matters relating to the PAI; (ii) adopt additional internal controls relating to governance and management of the Fund and conduct related training with submission to ANBIMA of a list of attendees of the training once completed; (iii) refrain from preparation of any material for distribution, solicitation, advertisement or any other material intended to solicit new shareholders for the Fund; and (iv) refrain from using the Fund's performance track record in the marketing material of any other fund managed by GSBR for a period of twelve (12) months. In addition, GSBR agreed to make a financial payment to ANBIMA in the amount of five hundred thousand Reais (BRL$500,000.00), which amount was paid by GSBR on August 3, 2015. While the actual payment was made in Brazilian Reais, using the most recently published Federal Reserve foreign exchange rate of BRL$3.4487:USD$1 as of August 3, 2015, the equivalent U.S. Dollar value on August 3, 2015 was USD$144,982.17, which amount is reflected in Item 12.B. above. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Financial Industry Regulatory Authority, Inc.

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Financial Industry Regulatory Authority, Inc.   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2013037867101 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox checkedOther Principal Product Type specify:

    Unspecified Securities 
                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that: (A) Goldman Sachs Execution & Clearing, L.P. ("GSEC") (i) between July 14, 2006 and July 30, 2013, failed to transmit to the Order Audit Trail System ("OATS") certain Reportable Order Events ("ROEs") under GSEC's "SGMA" Market Participant Identifier ("MPID") for its Alternative Trading System ("ATS"), in alleged violation of NASD Rule 6955 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7450 (for conduct that occurred on and after December 15, 2008); (ii) between July 14, 2006 and March 9, 2015, transmitted to OATS certain inaccurate and/or incomplete required ROE data elements, in alleged violation of NASD Rule 6954 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 7440 (for conduct that occurred on and after December 15, 2008); (iii) between April 7, 2014 and February 13, 2015, transmitted to OATS certain ROEs under GSEC's SGMA MPID that failed to report order event timestamps in milliseconds when GSEC's ATS captured time in milliseconds, in alleged violation of FINRA Rule 7450; (iv) between November 10, 2014 and February 13, 2015, submitted certain trade reports to the FINRA/NYSE Trade Reporting Facility ("TRF") under the SGMA MPID that failed to report execution timestamps in milliseconds, in alleged violation of FINRA Rule 6380B(c)(5); (v) during all the above-referenced review periods, failed to have adequate supervisory procedures reasonably designed to achieve compliance with NASD Rules 6954 and 6955 and FINRA Rules 7440, 7450 and 6380B(c)(5) in connection with the deficiencies described; and (B) the conduct described above constituted violations of NASD Rule 3010 (for conduct that occurred prior to December 1, 2014), FINRA Rule 3110 (for conduct that occurred on and after December 1, 2014), NASD Rule 2110 (for conduct that occurred prior to December 15, 2008) and FINRA Rule 2010 (for conduct that occurred on and after December 15, 2008).

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox checkedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox checked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox checked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Without admitting or denying the allegations or findings, GSEC consented to a censure, a fine, and an undertaking requiring GSEC to address the OATS and TRF reporting deficiencies described above to ensure that GSEC has implemented procedures that are reasonably designed to achieve compliance with the rules and regulations cited, and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on July 24, 2015, and on August 12, 2015, GSEC submitted a wire in payment of the fine in the amount of $1,800,000. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1818621 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    J. Aron & Company 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1818622 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Clear Credit LLC 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Clear Credit LLC 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2015-404b-039 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman, Sachs & Co. (the "Firm") failed to submit one (1) index end of day price in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b). 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button checked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

    ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    ICC made a summary assessment against the Firm in the amount of $1,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Clear Credit LLC

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Clear Credit LLC   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2015-404b-038 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox checked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Clear Credit, LLC ("ICC") alleged that during the month of September 2015, Goldman Sachs International ("GSI") failed to submit seven (7) index end of day prices in accordance with ICC Rules and Procedures, in alleged violation of ICC Rule 404(b).

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $ $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox checkedAssociated Person

      (i) Amount Ordered:  $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button checked No If "Yes," how much?    

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button checked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

    ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    ICC made a summary assessment against GSI in the amount of $7,000, which amount is direct debited in the next ICC monthly clearing fee invoice. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox checked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox checked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1846017 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1846017 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1856467 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1818621 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1859639 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox checked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox checked  9-C(4)
    checkbox checked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1862186 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs (Asia) L.L.C. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1868848 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1873218 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    ICE Futures U.S., Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    ICE Futures U.S., Inc. 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    2015-106 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    ICE Futures U.S., Inc. ("IFUS") Market Regulation Department issued a Summary Fine, dated March 17, 2016, to Goldman, Sachs & Co. (the "Firm"), stating that the Firm may have violated IFUS Rule 6.10 by failing to ensure that the proper Customer Type Indicator (CTI) code was affixed to certain orders entered between May and August 2015. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    The Summary Fine, in the amount of $2,000, was paid by submission of a wire on March 31, 2016. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1875181 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1875601 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1882468 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Saudi Arabia 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1886053 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1891791 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox checked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox checked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1897440 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1897440 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1901548 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Asset Management, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 
    Name on Registration

    CRD No.
    1907118 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox checked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox checked  9-C(4)
    checkbox checked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1915199 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Execution & Clearing, L.P. 
    The associated person is: radio button checked registered with the SECradio button unchecked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs Execution & Clearing, L.P. 
    Name on Registration

    CRD No.
    1922714 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman, Sachs & Co. 

    Name on Registration

    CRD No123.
    1929672 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox checked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin")

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    Federal Financial Supervisory Authority of Germany (Bundesanstalt fur Finanzdienstleistungsaufsicht - "BaFin")   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    GZ: WA 17-Wp 3120-2016/0060 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox checkedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    BaFin has alleged certain breaches by Goldman Sachs International ("GSI") in May 2016 of sections 21(1) and 25(1) of the German Securities TRading Act (Wertpapierhandelsgesetz - "WpHG") as a result of GSI's late submission of a shareholder voting rights notification.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox checked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button checked No

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox unchecked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button unchecked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox unchecked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button unchecked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered: 

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox uncheckedAssociated Person

      (i) Amount Ordered:   

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No If "Yes," how much?    

      (iii) Final Amount:     

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    GSI is reviewing, and provided a written response to BaFin on May 30, 2017. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs (India) Securities Private Limited 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1941617 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1941756 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1946884 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1946885 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox checked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs International 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1954930 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1956889 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1962381 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1961063 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Bank USA 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1967939 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    Goldman Sachs Bank USA 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1967938 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1967938 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1976967 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 

    Name on Registration

    CRD No123.
    1978013 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1980138 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Entry

    radio button checked Firm

    Goldman Sachs Bank USA 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1980140 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1980140 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox checked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    The Goldman Sachs Group, Inc. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    1966983 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Goldman Sachs & Co. LLC 
    Name on Registration

    CRD No.
    2007759 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox checked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked Yes radio button checked No



    REGULATORY ACTION DRP PART 2

    1. Regulatory Action was initiated by:

    A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox checkedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    NYSE Arca, Inc. 

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked  Exact checkbox unchecked  Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    NA 
      

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    20140406430 

    5. A. Principal Product Type (check appropriate item):

    checkbox checked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?      radio button unchecked Yes radio button checked No

           If "Yes," describe each additional product type:  

     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement on behalf of NYSE Regulation alleged that Goldman Sachs Execution and Clearing L.P. ("GSEC"), a former affiliate of Goldman Sachs & Co. LLC (the "Firm") failed to establish and maintain a supervisory system reasonably designed to ensure compliance with Section 15(c)(3) of the Securities and Exchange Act of 1934 and Rule 15c3-5 thereunder in alleged violation of NYSE Arca Equities Rule 6.18. On June 12, 2017, GSEC and the Firm consummated a merger of GSEC with and into the Firm (the "Merger"), with the Firm surviving the Merger and assuming any remaining GSEC assets, liabilities and operations. On June 13, 2017, GSEC filed a Uniform Request Withdrawal from Broker-Dealer Registration (Form BDW) with the Securities and Exchange Commission, which became effective on August 11, 2017. 

    7.     Current Status:              radio button unchecked  Pending radio button unchecked  On Appeal radio button checked  Final

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

     

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?
    radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details: 

     

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

     


    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
      State/Country:
     
    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No
    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox checked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B. Explanation:   (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail:

    A. Sanctions: Were any Sanctions Ordered? radio button checked Yes radio button unchecked  No

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button checked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time).

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

    (2)   Requalification:

       Was requalification by examination, retraining, or other process a condition of a sanction?                                          radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide the following details:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?      radio button unchecked Yes radio button unchecked No

                (1)   If "Yes," provide the date (MM/DD/YYYY):

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered:  $

    (b) Portion levied against:

    checkbox checkedApplicant

      (i) Amount Ordered:                  $

      (ii) Was any portion waived?  radio button unchecked Yes radio button checked No If "Yes," how much?       

      (iii) Final Amount:   $   

      (iv) Was final amount paid in full?     radio button checked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

     

    checkbox uncheckedAssociated Person

      (i) Amount Ordered: $  

      (ii) Was any portion waived?  radio button unchecked Yes radio button unchecked No If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY):   

         If "No," explain the circumstances:

        

    Provide the information for each additional associated person below:

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement on behalf of NYSE Regulation alleged that Goldman Sachs Execution and Clearing L.P. ("GSEC"), a former affiliate of Goldman Sachs & Co. LLC (the "Firm") failed to establish and maintain a supervisory system reasonably designed to ensure compliance with Section 15(c)(3) of the Securities and Exchange Act of 1934 and Rule 15c3-5 thereunder in alleged violation of NYSE Arca Equities Rule 6.18. On June 12, 2017, GSEC and the Firm consummated a merger of GSEC with and into the Firm (the "Merger"), with the Firm surviving the Merger and assuming any remaining GSEC assets, liabilities and operations. On June 13, 2017, GSEC filed a Uniform Request Withdrawal from Broker-Dealer Registration (Form BDW) with the Securities and Exchange Commission, which became effective on August 11, 2017. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INDIA INVESTMENTS (SINGAPORE) PTE. LTD. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS & CO. LLC 
    Name on Registration

    CRD No.
    2024336 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS & CO. LLC 
    Name on Registration

    CRD No.
    2029275 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS & CO. LLC 
    Name on Registration

    CRD No.
    2029276 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yes    radio button checked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Applicant

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked Yes radio button unchecked No
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS & CO. LLC 

    Name on Registration

    CRD No123.
    2034829 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     

    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     

    Name on Registration3123

    MA-I Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox checked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox uncheckedOther Sanction(s) Sought (list each such additional sanction):

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    NA   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    NA 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox unchecked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox checked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG ALLEGED THAT DURING THE FIRST HALF OF THE CALENDAR YEAR 2019, GOLDMAN SACHS INTERNATIONAL (GSI) FAILED TO MEET ITS PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button unchecked NO

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox checked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button checked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox checked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button unchecked Yes radio button checked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox unchecked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button unchecked Yes radio button checked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered: 

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox uncheckedAssociated Person

      (i) Amount Ordered:   

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No If "Yes," how much?    

      (iii) Final Amount:     

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    AKK - ALLAMADOSSAG KEZELO KOZPONT ZARTKORUEN MUKODO RESZVENYTARSASAG ALLEGED THAT DURING THE FIRST HALF OF THE CALENDAR YEAR 2019, GOLDMAN SACHS INTERNATIONAL (GSI) FAILED TO MEET ITS PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES. THE AKK IMPOSED A FINE ON GSI IN THE AMOUNT OF HUF 500,000, WHICH WAS PAID BY SUBMISSION OF A WIRE ON AUGUST 1, 2019. WHILE THE ACTUAL PAYMENT WAS MADE IN HUNGARIAN FORINTS, USING THE FOREIGN EXCHANGE SPOT RATE OF I USD = HUF 292.31 AS OF AUGUST 1, 2019, THE EQUIVALENT U.S. DOLLAR VALUE ON AUGUST 1, 2019 WAS USD 1710.50. 

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button uncheckedINITIAL OR radio button checkedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox checked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox unchecked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS GROUP, INC. 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button checked YES radio button unchecked NO
    If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    GOLDMAN SACHS & CO. LLC 
    Name on Registration

    CRD No.
    2050401 

    Disclosure Occurrence No.

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
     
    Name on Registration

    MA Registration Number

    Date of Filing that contains the DRP (MM/DD/YYYY)

    Accession number of the filing

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
     
    Name on Registration

    MA-I Registration Number

    Date of Filing that contains the disclosure

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button checkedINITIAL OR radio button uncheckedAMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

    Check item(s) being responded to: 

    checkbox unchecked  9-C(1)    
    checkbox unchecked  9-C(2)    
    checkbox unchecked  9-C(3)  
    checkbox unchecked  9-C(4)
    checkbox unchecked  9-C(5)
    checkbox unchecked9-D(1)
    checkbox unchecked9-D(2)
    checkbox unchecked9-D(3) 
    checkbox unchecked  9-D(4)  
    checkbox unchecked  9-D(5)
    checkbox unchecked   9-E(1) 
    checkbox unchecked  9-E(2) 
    checkbox unchecked  9-E(3)  
    checkbox unchecked  9-E(4)
     
    checkbox unchecked  9-F   
    checkbox checked  9-G
     
     
     

    How to Report an Event or Proceeding on a Regulatory Action DRP:   Use a separate DRP for each event or proceeding .  The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G.  If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

    REGULATORY ACTION DRP PART 1

    Check all that apply, except where noted

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox unchecked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox checked One or more of applicant's associated person(s)

    1. Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked YES    radio button checked NO
    (b) If "Yes," the reason the DRP should be removed is:
    radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
    radio button unchecked The DRP was filed in error.
    Explain the circumstances:
     

    2. Associated Person(s)

    (a) Does this DRP concern one or more associated persons?
    radio button checked Yes    radio button unchecked No
    (b) Identify each such associated firm and/or natural person in the space below:

    Entry

    radio button checked Firm

    GOLDMAN SACHS INTERNATIONAL 
    The associated person is: radio button unchecked registered with the SECradio button checked
    SEC Registration No.
    CRD No., if any
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor
    radio button unchecked The DRP was filed in error. Explain the circumstances:
     
    radio button uncheckedNatural person
    Full name of the associated person:
    Enter all the letters of each name and not initials or other abbreviations.
    If no middle name, enter NMN on that line.

    First Name

    Middle Name

    Last Name

    Suffix
    The associated person is:
    radio button unchecked registered with the SEC
    SEC Registration No.:
    radio button unchecked not registered with the SEC
    CRD No., if any:
    Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
    radio button uncheckedYes radio button checkedNo
    If "Yes," the reason the DRP should be removed is:
    radio button unchecked The associated person(s) is no longer associated with the advisor.
    radio button unchecked The event or proceeding was resolved in the associated person's favor.
    radio button unchecked The DRP was filed in error. Explain the circumstances:

    Associated Person(s)

    B. DRP Filed Elsewhere for This Event:

        Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
    radio button unchecked YES radio button checked NO


    REGULATORY ACTION DRP PART 2

    1.     Regulatory Action was initiated by:     (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

    checkbox uncheckedSEC
    checkbox unchecked State
    checkbox uncheckedForeign Financial Regulatory Authority
    checkbox uncheckedCFTC
    checkbox uncheckedSRO
    checkbox unchecked Other: (specify) checkbox unchecked
    checkbox uncheckedFederal Banking Agency
    checkbox unchecked National Credit Union Administration
    checkbox unchecked Other Federal Authority

    B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

    EUREX DEUTSCHLAND

    2. Sanction(s) Sought: Check all that apply.

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement
    checkbox unchecked Restitution
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox unchecked Civil/Administrative Penalty(ies)/Fine(s)
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     
    checkbox checkedOther Sanction(s) Sought (list each such additional sanction):

    PENDING MATTER BY EUREX DEUTSCHLAND ALLEGING VIOLATION OF PARAGRAPH 2.6 OF THE CONDITIONS FOR TRADING AT EUREX DEUTSCHLAND.

    3. Date Initiated (MM/DD/YYYY):      checkbox checked Exact checkbox unchecked Explanation           

    If not exact, provide explanation: 

     

    4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

    A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

    EUREX DEUTSCHLAND   

    B. Location of the Proceeding / Hearing:

    Postal Code

    C. Docket/Case Number:

    A 2019/31 

    5. A. Principal Product Type (check appropriate item):

    checkbox unchecked No Product
    checkbox unchecked Annuity – Charitable
    checkbox uncheckedDirect Investment – DPP & LP Interest
    checkbox uncheckedOil & Gas
    checkbox unchecked Annuity – Fixed
    checkbox unchecked Equipment Leasing
    checkbox unchecked Options
    checkbox unchecked Annuity – Variable
    checkbox uncheckedEquity Listed (Common & Preferred Stock)
    checkbox unchecked Penny Stock
    checkbox unchecked Banking Product
    (other than CD)
    checkbox unchecked Equity OTC
    checkbox unchecked Prime Bank Instrument
    checkbox unchecked CD
    checkbox unchecked Futures – Commodity
    checkbox unchecked Promissory Note
    checkbox unchecked Commodity Option
    checkbox checked Futures – Financial
    checkbox unchecked Real Estate Security
    checkbox unchecked Debt – Asset Backed
    checkbox unchecked Index Option
    checkbox unchecked Security Futures
    checkbox unchecked Debt – Corporate
    checkbox unchecked Insurance
    checkbox unchecked Security-based Swap
    checkbox unchecked Debt – Government
    checkbox unchecked Investment Contract
    checkbox unchecked Swap
    checkbox unchecked Debt – Municipal
    checkbox unchecked Money Market Fund
    checkbox unchecked Unit Investment Trust
    checkbox unchecked Derivative
    checkbox unchecked Mutual Fund
    checkbox unchecked Viatical Settlement
    checkbox uncheckedOther Principal Product Type specify:

                                                             
       B.  Other Product Types?radio button unchecked YES radio button checked No

           If "Yes," describe each additional product type:     

    6. Allegations: Describe the allegations related to this regulatory action.  (The response must fit within the space provided.)

    E UREX DEUTSCHLAND INITIATED A SANCTION PROCEEDING AGAINST GOLDMAN SACHS INTERNATIONAL ("GSI") AND A GSI SALES TRADER ON 7 NOVEMBER 2019 IN RELATION TO A CROSS TRADE IN THE EUREX PRODUCT EURO BUND FUTURE. EUREX DEUTSCHLAND ALLEGES THE CROSS TRADE WAS IN VIOLATION OF PARAGRAPH 2.6 OF THE CONDITIONS FOR TRADING AT EUREX DEUTSCHLAND.

    7. Current Status:             

    8.     Pending:  If you checked Item 7 Pending, provide the following information.

    A. Date Served: The date that notice or other process was served (MM/DD/YYYY):   checkbox checked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation: 

    B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? radio button unchecked YES radio button checked No

    If the answer is "Yes," provide details: 

    9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

    A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



    B. Location of the Regulator or Judicial Court to Whom You Appealed:

    Street Address 1:   Street Address 2:

    City or County:
    State/Country:
     


    Postal Code:

    C. Docket/Case Name:

     


    D. Docket/Case Number:
     


    E. Date Appeal filed (MM/DD/YYYY): checkbox unchecked Exact         checkbox unchecked Explanation 

    If not exact, provide explanation:  

     

    F. Appeal Details (including status):

     


    G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? radio button unchecked Yes radio button unchecked No

    If the answer is "Yes," provide details:
     

    If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

    10.  A.    Resolution:  How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

    checkbox uncheckedAcceptance, Waiver & Consent (AWC)
    checkbox unchecked Dismissed
    checkbox unchecked Stipulation and Consent
    checkbox unchecked Consent
    checkbox unchecked Judgment Rendered
    checkbox unchecked Withdrawn
    checkbox unchecked Decision
    checkbox uncheckedOrder
    checkbox unchecked Other: (requires explanation)
    checkbox uncheckedDecision & Order of Offer of Settlement
    checkbox unchecked Settled
     
    checkbox unchecked Appealed
                   checkbox unchecked Affirmed
                   checkbox unchecked Vacated Nunc Pro Tunc / ab initio
                   checkbox uncheckedVacated & Returned For Further Action
                   checkbox unchecked Vacated / Final
                   checkbox unchecked Other: (requires explanation)

    B.    Explanation:  (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

     

    C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? radio button unchecked Yes radio button unchecked No

     

    11.  Resolution Date (MM/DD/YYYY):   checkbox unchecked Exact          checkbox unchecked Explanation 

    (For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

    If not exact, provide explanation:  

     

    12.  Resolution Detail

    A. Sanctions: Were any Sanctions Ordered? radio button unchecked Yes radio button unchecked  No, none were ordered .

    B.    If "Yes," check each individual sanction below that was ordered:   

    checkbox unchecked Bar (Permanent)
    checkbox unchecked Disgorgement*
    checkbox unchecked Restitution*
    checkbox unchecked Bar (Temporary / Time Limited)
    checkbox unchecked Expulsion
    checkbox unchecked Requalification
    checkbox unchecked Cease and Desist
    checkbox unchecked Injunction
    checkbox unchecked Revocation
    checkbox unchecked Censure
    checkbox unchecked Prohibition
    checkbox unchecked Suspension
    checkbox unchecked Civil and Administrative Penalty(ies)/Monetary Fine(s)*
    checkbox unchecked Reprimand
    checkbox unchecked Undertaking
    checkbox unchecked Denial
    checkbox unchecked Rescission
     

    • Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment?   radio button unchecked Yes radio button unchecked No

     If "Yes," enter the total amount ordered: $

      checkbox unchecked Other Sanctions Ordered (list each such additional sanction):


    C.    Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

      (1)  Barred, Enjoined, or Suspended:   If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

            (a)  Barred  

    If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
       

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
      

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (b)  Enjoined

    If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     

            (c)  Suspended

    If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

                  (i) Duration (length of time):

                      checkbox unchecked Permanent (not limited by length of time)

                      checkbox unchecked Temporary / Time Limited. Specify the: checkbox unchecked Days checkbox unchecked Months
                                                                                               checkbox unchecked Years

                  (ii) Start Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:

     

                  (iii) End Date (MM/DD/YYYY):   checkbox unchecked Exact         checkbox unchecked Explanation 

                     If not exact, provide explanation:
     

     

                  (iv) Description: Provide remaining details and the registration capacities affected
                        (General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

     
     

    (2)   Requalification:    Was requalification by examination, retraining, or other process a condition of a sanction?
                                             radio button unchecked YES   radio button unchecked NO

    If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

    If "Yes," provide:

      (a) Length of time given to requalify, retrain, or complete other process:
                       checkbox unchecked No time period is specified.

                      checkbox unchecked Time period is specified: checkbox unchecked Days checkbox unchecked Months
                                                                       checkbox unchecked Years

    (b) Type of examination, retraining, or other process required:

     

     (c)  Was the condition satisfied?        radio button unchecked YES radio button unchecked NO

                (1)   If "Yes," provide the date (MM/DD/YYYY) 

                (2)   If "No," explain the circumstances: 

     

    (3)   Monetary Sanction(s):  If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

    (a) Total Amount Ordered: 

    (b) Portion levied against:

    checkbox uncheckedApplicant

      (i) Amount Ordered:                   $  

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No              If "Yes," how much?      $  

      (iii) Final Amount:                         $   

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

        

    checkbox uncheckedAssociated Person

      (i) Amount Ordered:   

      (ii) Was any portion waived?   radio button unchecked Yes radio button unchecked No If "Yes," how much?    

      (iii) Final Amount:     

      (iv) Was final amount paid in full?     radio button unchecked Yes radio button unchecked No

          If "Yes," date paid in full (MM/DD/YYYY)   

         If "No," explain the circumstances:

     

    13.  Summary of Circumstances:

    Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

    GSI RESPONDED TO EUREX DEUTSCHLAND ON 2 DECEMBER 2019 SETTING OUT THE FIRM'S POSITION THAT (A) THE TRADE IN QUESTION, WHICH HAD A LEGITIMATE ECONOMIC RATIONALE, WAS INTENDED TO HAPPEN OFF-EXCHANGE USING INTERNAL FLATTENING CONTROLS BUT INSTEAD WAS INADVERTENTLY ROUTED ONTO THE EXCHANGE, (B) THE NAMED SALES TRADER HAD NO INVOLVEMENT IN THE DECISION TO FLATTEN THE TWO POSITIONS INTERNALLY THAT RESULTED IN THE ON-EXCHANGE TRADE AND SO SHOULD BE REMOVED FROM THE SCOPE OF THE PROCEEDINGS, AND (C) THE TRADE DID NOT HAVE ANY MATERIAL IMPACT ON THE MARKET GIVEN THAT THE PRICE OF THE PRODUCT IN QUESTION MOVED BY ONLY EUR 0.01 IN THE MINUTE WHEN THE TRANSACTION TOOK PLACE (A MOVE OF JUST 0.00558%). 

    CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (MA)

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button checkedINITIAL OR radio button uncheckedAMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.


    Check item(s) being responded to:

    checkbox unchecked9-H(1)(a)checkbox checked9-H(1)(b)checkbox unchecked9-H(1)(c)checkbox unchecked9-H(2)


    How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.


    CIVIL JUDICIAL ACTION DRP PART I

    Check all that apply, except where noted:

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1.     Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked Yesradio button checked No
               (b) If "Yes," the reason the DRP should be removed is:
                         radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
                         radio button unchecked The DRP was filed in error.
                          Explain the circumstances:                      
     

    2.     Associated Person(s)

              (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yesradio button checked No
                         (i) Indicate the total number of such associated person(s):
              (b) Identify each such associated firm and/or natural person in the space below:
       

    Applicant



    B. DRP filed elsewhere for this event:      

    Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?
    radio button checkedYes radio button uncheckedNo
    If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Name on Registration:
    GOLDMAN, SACHS & CO. 
    CRD No.
    Disclosure Occurrence No.
    1505029 

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
    Name on Registration:
     
    MA Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
    Name on Registration:
     
    MA-I Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
    associated person of its obligation to update its IARD or CRD records.

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button checkedINITIAL OR radio button uncheckedAMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.


    Check item(s) being responded to:

    checkbox unchecked9-H(1)(a)checkbox checked9-H(1)(b)checkbox unchecked9-H(1)(c)checkbox unchecked9-H(2)


    How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.


    CIVIL JUDICIAL ACTION DRP PART I

    Check all that apply, except where noted:

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1.     Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked Yesradio button checked No
               (b) If "Yes," the reason the DRP should be removed is:
                         radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
                         radio button unchecked The DRP was filed in error.
                          Explain the circumstances:                      
     

    2.     Associated Person(s)

              (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yesradio button checked No
                         (i) Indicate the total number of such associated person(s):
              (b) Identify each such associated firm and/or natural person in the space below:
       

    Applicant



    B. DRP filed elsewhere for this event:      

    Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?
    radio button checkedYes radio button uncheckedNo
    If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Name on Registration:
    GOLDMAN, SACHS & CO. 
    CRD No.
    Disclosure Occurrence No.
    1247737 

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
    Name on Registration:
     
    MA Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
    Name on Registration:
     
    MA-I Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
    associated person of its obligation to update its IARD or CRD records.

    GENERAL INSTRUCTIONS

    This Disclosure Reporting Page (DRP MA) is an radio button checkedINITIAL OR radio button uncheckedAMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.


    Check item(s) being responded to:

    checkbox unchecked9-H(1)(a)checkbox checked9-H(1)(b)checkbox unchecked9-H(1)(c)checkbox unchecked9-H(2)


    How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.


    CIVIL JUDICIAL ACTION DRP PART I

    Check all that apply, except where noted:

    A.    The person(s) or entity(ies) for whom this DRP is being filed is (are) the:   
    checkbox checked Applicant (the municipal advisory firm)
    checkbox unchecked Applicant and one or more of the applicant's associated person(s)
    checkbox unchecked One or more of applicant's associated person(s)

    1.     Applicant

    (a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
    radio button unchecked Yesradio button checked No
               (b) If "Yes," the reason the DRP should be removed is:
                         radio button unchecked The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
                         radio button unchecked The DRP was filed in error.
                          Explain the circumstances:                      
     

    2.     Associated Person(s)

              (a) Does this DRP concern one or more associated persons?
    radio button unchecked Yesradio button checked No
                         (i) Indicate the total number of such associated person(s):
              (b) Identify each such associated firm and/or natural person in the space below:
       

    Applicant



    B. DRP filed elsewhere for this event:      

    Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?
    radio button checkedYes radio button uncheckedNo
    If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.
    checkbox checked
    checkbox unchecked
    checkbox unchecked

    1. Form ADV, BD, or U4 Filing:

    For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
    Name on Registration:
    GOLDMAN, SACHS & CO. 
    CRD No.
    Disclosure Occurrence No.
    1134508 

    2. Form MA Filing:

    For a DRP filed on EDGAR with a Form MA, provide the following information:
    Name on Registration:
     
    MA Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    3. Form MA-I Filing:

    For a DRP filed on EDGAR with a Form MA-I, provide the following information:
    Name on Registration:
     
    MA-I Registration Number:
    Date of Filing that contains the DRP (MM/DD/YYYY):
    Accession number of the filing:

    NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
    associated person of its obligation to update its IARD or CRD records.