Goldman Sachs Agrees To Pay Penalty For Providing Deficient Blue Sheet Data To SEC

(RTTNews) - The Securities and Exchange Commission announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate securities trading information to the SEC. Goldman agreed to pay a $6 million penalty to resolve the charges. Over a period of approximately ten years, the company made more than 22,000 deficient blue sheet submissions to the SEC. Goldman willfully violated the broker-dealer recordkeeping and reporting provisions of the federal securities laws, the SEC found.

Also, the Financial Industry Regulatory Authority reached a settlement with Goldman for related conduct.