Goldman Sachs Broker Dealer

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The bank of new york mellon/broker dealer omnibus the bank of new york mellon/nomura bank int'l plc goldman sachs bank usa/goldman sachs agency lending industrial and commercial bank of china financial services llc/ clearing ... Visit Document

SECURITIES DEPARTMENT IN THE MATTER OF: )Case No. 0300910 ...
WHEREAS, Goldman, Sachs & Co. ("Goldman Sachs") is a broker-dealer registered in the State of Illinois; and WHEREAS, coordinated investigations into Goldman Sachs' activities in connection with its potential confiicts of interest by research analysts, the issuance of research that might ... Fetch Full Source

NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES In The Matter ...
And various subsidiaries and affiliates, including Goldman, Sachs & Co., a New York-based investment bank and broker-dealer (together with The Goldman Sachs Group, Inc., “Goldman”); WHEREAS . Goldman Sachs Bank USA, a subsidiary of The Goldman Sachs Group, Inc., is a New York State-chartered bank, which has been licensed, supervised and ... Retrieve Document

Peter Sutherland - Wikipedia
He was non-executive Chairman of Goldman Sachs International (a registered UK broker-dealer, a subsidiary of Goldman Sachs) until June 2015. Until June 2009 he was non-executive chairman of BP being replaced by Carl-Henric Svanberg formerly chief executive officer of Ericsson. ... Read Article

IN THE MATTER OF: GOLDMAN, SACHS & CO. - Maine.gov
WHEREAS, Goldman, Sachs & Co. (“Goldman Sachs”) is a broker-dealer licensed in the State of Maine; WHEREAS, coordinated investigations into Goldman Sachs’s activities in connection ... Document Retrieval

BEFORE THE SECURITIES COMMISSIONER OF THE STATE OF DELAWARE ...
Goldman Sachs participated in the marketing and sale of ARS. 3. Goldman Sachs acted as an underwriter and as the auction broker-dealer for certain issues of auction rale securities. When acting as sole manager. Goldman Sachs was the only firm that could submit bids into the auction on behalf of its clients and/or other broker-dealers who ... Retrieve Document

Goldman Sachs Financial Servcies Conference - BNY Mellon
Goldman Sachs Financial Services Conference 2012 We are an Investments Company Serving clients across and at any point in the investment life cycle Depositary Receipts Broker-Dealer Svcs. Global Markets Treasury Services Asset Servicing Investment Management Investment Management Pershing Corporate Trust Create Assets Trade Assets Hold Assets ... Read Full Source

The Goldman Sachs Group, Inc. Global Resolution Plan - Public ...
Goldman Sachs THE GOLDMAN SACHS GROUP, INC. GLOBAL RESOLUTION PLAN Public Filing - September 27, 2013 ... Retrieve Document

Administrative Proceeding: Goldman, Sachs & Co. - SEC.gov
(“Goldman Sachs”), a broker-dealer and registered municipal securities dealer, arising from the conduct of Neil M.M. Morrison (“Morrison”), a former vice president in the investment banking division of Goldman Sachs. ... Get Doc

EB-5 Visa Program: The Gateway To America | All You Wanted To ...
Vivek holds Financial Industry Regulatory Authority (FINRA) and U.S. Securities and Exchange Commission (SEC) securities licenses and is associated with a registered broker-dealer NMS Capital ... View Video

IMPORTANT DISCLOSURES AND CONSIDERATIONS FOR INVESTORS IN ...
Goldman, Sachs & Co., as a Broker-Dealer of Auction Rate Securities, provides the following important information about Auction Rate Securities and the Auction Procedures for customers, issuers and other interested persons. ... Document Retrieval

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE ...
Broker-Dealer CRDNo. 3466 Pursuant to FIN RA Ruic 9216 of FINRA 's Code of Procedure, Goldman Sachs Execution & Clearing, L.P. ("GSEC" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("A WC") for the purpose of proposing a settlement of the alleged rule violations described ... Visit Document

Tb .l ) Docket No. 2003-7-21 ) ADMINISTRATIVE CONSENT ORDER ...
WHEREAS, Goldman, Sachs & Co. ("Goldman Sachs") is a broker-dealer registered in the State of Idaho; and WHEREAS, coordinated investigations into Goldman Sachs's activities in connection with its potential conflicts of interest by research analysts, the issuance of research that might ... Read Document

GOLDMAN, SACHS & CO. AND SUBSIDIARIES Consolidated Financial ...
Goldman, Sachs & Co. (GS&Co.), a limited partnership registered as a U.S. broker-dealer and futures commission merchant, together with its consolidated subsidiaries (collectively, the firm), is a subsidiary of The Goldman Sachs Group, Inc. (Group Inc.), a Delaware corporation. ... Access Doc

GOLDMAN, SACHS CO. AND SUBSIDIARIES Consolidated Statement Of ...
Goldman, Sachs & Co. (GS&Co.), a limited partnership registered as a U.S. broker-dealer and futures commission merchant, together with its consolidated subsidiaries (collectively, the firm), is an indirectly wholly ... Access Doc

Order Approving Formation Of Bank Holding Companies, The ...
New York, New York, a broker-dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 (15 U.S.C. § 78a et. Order Approving Formation of Bank Holding Companies, The Goldman Sachs Group, Inc. ... Fetch Content

Goldman And Sachs & Co. - SEC.gov | HOME
Client service functions that had previously been operated either by an affiliated broker -dealer, Goldman Sachs Execution & Clearing , L.P. ³*6(&´ , or that had been operated by both GSCO and GSEC. ... Document Retrieval

THE GOLDMAN SACHS GROUP, INC. GLOBAL RESOLUTION PLAN
THE GOLDMAN SACHS GROUP, INC. GLOBAL RESOLUTION PLAN Public Filing June 27, 2014 . RESOLUTION PLAN 2014 Table of Contents Goldman, Sachs & Co. (U.S. broker-dealer) Goldman Sachs Services Private Limited (Indian staffing service entity) ... Access Document

Net Capital Rule - Wikipedia
A broker-dealer subsidiary of Merrill Lynch was the first to begin computing its net capital using the new method, beginning January 1, 2005. A Goldman Sachs broker-dealer subsidiary began using the new method after March 23, but before May 27, 2005. ... Read Article

US Tracks Down Loot From Jho Low's Lavish Shopping Spree
THE van Gogh and the Monet are safely in storage in Switzerland. ... Read News

THE GOLDMAN SACHS GROUP, INC. GLOBAL RESOLUTION PLAN
Goldman Sachs is a 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 highnet-worth individuals. ... Fetch Document