Case Summary

GOLDMAN SACHS & CO LLC NYME 13-1386 NFA ID: 0002014

 Respondent/Effective Date Summary 
 NFA IDRespondentEffective Date
 0002014GOLDMAN SACHS & CO LLC05/19/2014
 Rule Summary 
 NFA IDRespondentRule Type
 0002014GOLDMAN SACHS & CO LLC• 536.B.2 - Electronic Audit Trail Requirements for Electronic Order Routing/Front-End Systems
 Committee Summary 
 NFA IDRespondentCommittee
 0002014GOLDMAN SACHS & CO LLC• MARKET REGULATION DEPARTMENT
 Action Summary 
 NFA IDRespondentAction Types
 0002014GOLDMAN SACHS & CO LLC• OFFICE RECORDKEEPING
 Penalty/Event Summary 
 NFA IDRespondentPenalty/EventEvent Date
 0002014GOLDMAN SACHS & CO LLC• FINE-SUMMARY $500005/19/2014
 Narrative Summary 
Narrative for 0002014 - GOLDMAN SACHS & CO LLC
FINDINGS: Goldman, Sachs & Co. failed to maintain an electronic audit trail and/or a complete electronic audit trail containing all the required data elements for certain trading systems at various periods between March 12, 2010 and March 31, 2013.

PENALTY: Pursuant to Rule 512 ("Reporting Infractions"), Goldman, Sachs & Co. was collectively issued a $10,000 fine for its violation of Rule 536.B.2, as follows: CME - $5,000; NYMEX $5,000.