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Details

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 
GOLDMAN SACHS PARIS INC ET CIE 
• PRINCIPAL APPROVED 
Exemptions and No Actions
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FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC1
Exchanges48
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total1
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
JOHN H CHARTRESNO LISTED TITLENO
GARY DAVID COHNCHIEF EXECUTIVE OFFICERNO
MICHAEL CHARLES DAWLEYDIRECTORNO
RICHARD ALAN FRIEDMANHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JUSTIN GERALD GMELICHHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
GOLDMAN SACHS & CO LLC THE NO
GOLDMAN SACHS GROUP INC THE YES
BRIAN J LEECHIEF FINANCIAL OFFICERNO
FELICIA JOY RECTORCHIEF COMPLIANCE OFFICERNO
PAUL MARTIN RUSSOHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
MICHAEL LORD SIMPSONNO LISTED TITLENO
History
 Status Effective Date
• SWAP FIRM APPROVED01/03/2013 
• SWAP DEALER PROVISIONALLY REGISTERED12/31/2012 
• SWAP DEALER PENDING12/14/2012 
• SWAP FIRM PENDING11/21/2012 
• COMMODITY POOL OPERATOR REGISTERED02/02/1990 
• COMMODITY TRADING ADVISOR REGISTERED02/02/1990 
• COMMODITY POOL OPERATOR PENDING01/26/1990 
• COMMODITY TRADING ADVISOR PENDING01/26/1990 
• EXEMPT FOREIGN FIRM AGENT APPROVED07/26/1989 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED01/08/1979 
CANTAB CAPITAL PARTNERS LLP 
• PRINCIPAL WITHDRAWN 04/21/2011 
• PRINCIPAL APPROVED 04/01/2008 
GOLDMAN SACHS PARIS INC ET CIE 
• PRINCIPAL APPROVED 04/01/2015 
• PRINCIPAL PENDING 10/08/2013 
UNX LLC 
• PRINCIPAL WITHDRAWN 03/11/2012 
• PRINCIPAL APPROVED 02/08/2010 
 
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