NOTICE OF DISCIPLINARY ACTION

FILE NO.:                  22-CH-2203

MEMBER FIRM:        Goldman Sachs & Co. LLC 

CBOT Rule:               930. PERFORMANCE BOND REQUIREMENTS: ACCOUNT HOLDER                              

                                   LEVEL             

                                   E. Calls for Performance Bond

                                     *****

                                 3. Clearing members must maintain written records of all performance    

                                     bond calls issued and satisfied in whole or in part.                  

FINDINGS:                Pursuant to an offer of settlement in which Goldman Sachs & Co. LLC neither admitted nor denied the rule violation upon which the penalty is based, on June 9, 2022, the Clearing House Risk Committee found that Goldman Sachs & Co. LLC violated CBOT Rule 930.E.3.

PENALTY:                  In accordance with the settlement offer, the Committee imposed a $75,000 fine.

EFFECTIVE DATE:    June 10, 2022