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GOLDMAN SACHS & CO NFA ID: 0002014 Current Status • SWAP FIRM APPROVED  • SWAP DEALER PROVISIONALLY REGISTERED  • COMMODITY POOL OPERATOR REGISTERED  • COMMODITY TRADING ADVISOR REGISTERED  • EXEMPT FOREIGN FIRM AGENT APPROVED  • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  Exemptions Click the link below to view exemptions for this firm View Exemptions FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts Yes Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 1 Exchanges 34 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Business Address 200 WEST STREET NEW YORK, NY  10282 UNITED STATES (212) 902-1000 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest STEVEN CHO HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO GARY DAVID COHN CHIEF EXECUTIVE OFFICER NO MICHAEL CHARLES DAWLEY DIRECTOR NO RICHARD ALAN FRIEDMAN HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO JUSTIN GERALD GMELICH HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO GOLDMAN SACHS & CO LLC THE NO GOLDMAN SACHS GROUP INC THE YES JONATHAN JAMES HALL HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO BRIAN J LEE CHIEF FINANCIAL OFFICER NO FELICIA JOY RECTOR CHIEF COMPLIANCE OFFICER NO PAUL MARTIN RUSSO HEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION NO History  Status Effective Date • SWAP FIRM APPROVED 01/03/2013  • SWAP DEALER PROVISIONALLY REGISTERED 12/31/2012  • SWAP DEALER PENDING 12/14/2012  • SWAP FIRM PENDING 11/21/2012  • COMMODITY POOL OPERATOR REGISTERED 02/02/1990  • COMMODITY TRADING ADVISOR REGISTERED 02/02/1990  • COMMODITY POOL OPERATOR PENDING 01/26/1990  • COMMODITY TRADING ADVISOR PENDING 01/26/1990  • EXEMPT FOREIGN FIRM AGENT APPROVED 07/26/1989  • NFA MEMBER APPROVED 07/01/1982  • FUTURES COMMISSION MERCHANT REGISTERED 01/08/1979  CANTAB CAPITAL PARTNERS LLP  • PRINCIPAL WITHDRAWN 04/21/2011  • PRINCIPAL APPROVED 04/01/2008  UNX LLC  • PRINCIPAL WITHDRAWN 03/11/2012  • PRINCIPAL APPROVED 02/08/2010