NOTICE OF SUMMARY ACTION

FILE NO:

NYMEX 23-1655

MEMBER FIRM:

Goldman Sachs & Co., LLC

RULE VIOLATION:  

Rule 853.A.6, Transfer Trades

All transfers shall be reported to the Clearing House in a form acceptable to the Exchange for the type of transactions involved. The proper indicator must be included in the transfer such that the transactions, including the transaction(s) to reverse an error, clear as transfers. The clearing members involved shall maintain a full and complete record of all transactions together with all pertinent memoranda.

FINDINGS:

On February 21, 2023, Goldman Sachs & Co. LLC did not submit a transfer in a formacceptable to the Exchange.

PENALTY:

On July 27, 2023, pursuant to Rule 512 (“Reporting Infractions”), Goldman Sachs & Co. LLC was issued a $1,000 fine for its violation of Rule 853.A.6.

EFFECTIVE DATE:

August 14, 2023