NOTICE OF DISCIPLINARY ACTION

FILE NO.:

CBT-RSRH-19-5501

MEMBER FIRM:

GOLDMAN SACHS & CO LLC

CBT RULES:

CBT Rule 807. Open Long Positions During Delivery Month

At such times and in such manner as shall be prescribed by the Manual, clearing members shall submit a complete and accurate record of dates of all open purchases for use in making deliveries. Clearing members shall be fully responsible for inventories submitted to the Clearing House. This rule shall not apply to trading in options contracts.

FINDINGS:

During the month of May 2019, Goldman Sachs & Co. LLC. inaccurately reported long positions eligible for delivery in the May 2019 Wheat futures contract.

PENALTY:

On June 14, 2019, the Rule 512 Committee, pursuant to Rule 512, assessed a fine in the amount of $1,000 against Goldman Sachs & Co. LLC. for its violation of Rule 807.

EFFECTIVE DATE:

July 2, 2019