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Goldman Sachs Financial Markets, L.P. – ‘SBSE-BD/A’ on 9/14/23

On: Thursday, 9/14/23, at 3:52pm ET · As of: 8/14/23 · Accession #: 1085407-23-7 · File #: 26-00112

  As Of               Filer                 Filing    For·On·As Docs:Size

 8/14/23  Goldman Sachs Fin’l Markets, L.P. SBSE-BD/A   9/14/23    1:4K

Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is a Registered Broker-Dealer — Form SBSE-BD

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SBSE-BD/A   Amendment to Application for Registration by a      HTML      5K 
                Security-Based Swap Dealer or Major Security-Based               
                Swap Participant that is a Registered                            
                Broker-Dealer -- primary_doc.xml

This ‘SBSE-BD/A’ Document is an XML Data File that may be rendered in various formats:

Form SBSE-BD – Plain Text – SEC Website – EDGAR System – XML Data – <?xml?> File

SEC Info℠ rendering: Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is a Registered Broker-Dealer

SBSE-BD/A: Filer Information

Filer CIK

0001085407

Filer CCC

**********

Is this a LIVE or TEST Filing?

LIVE

TEST

Would you like a Return Copy?

Submission Contact Information

Name

Phone

E-Mail Address

Notify via Filing Website only?

Notification E-mail Address

SBSE-BD/A: Applicant Data - Page 1

FORM SBSE-BD

Application for Registration as a Security-based
Swap Dealer and Major Security-based Swap Participant
that is Registered as a Broker-Dealer

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name and CRD number of the applicant:

A. Full name of the applicant:

GOLDMAN SACHS FINANCIAL MARKETS, L.P.

B. CRD No.:

000047340

UIC No. (if any):

C. Website/URL:

D. Contact Employee:

Prefix:

First Name:

RIQUEZA

Middle Name:

Last Name:

FEASTER

Suffix:

Title:

CHIEF COMPLIANCE OFFICER

Phone:

212-357-7821

Email Address:

Rique.Feaster@gs.com

E. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):

Prefix:

First Name:

RIQUEZA

Middle Name:

Last Name:

FEASTER

Suffix:

Title:

CHIEF COMPLIANCE OFFICER

Phone:

212-357-7821

Email Address:

Rique.Feaster@gs.com

2.

A. The applicant is registering as a security-based swap dealer:

Yes

B. The applicant is registering as a major security-based swap participant:

Yes

3.

A. The applicant is presently registered with the Commodity Futures Trading Commission as a:

Swap Dealer Radio button not checked

Major Swap Participant

B. The applicant is registering with the Commodity Futures Trading Commission as a:

Swap Dealer Radio button not checked

Major Swap Participant

4.

Is the applicant subject to regulation by a prudential regulator, as defined in Sec. 1a(39) of the Commodity Exchange Act.

Yes

5.

Is the applicant registered with the Commission as an over-the-counter derivatives dealer?

Yes

6.

Briefly describe the applicant's business:

Financial Markets, LP (or "GSFM") is an SEC registered OTC derivatives dealer and a CFTC registered swap dealer incorporated in the state of Delaware. GSFM facilitates client activity in the Equities Synthetic Trading, Structured Products, and other related derivative flows.

7.

Is the applicant registered with a foreign financial regulatory authority?

Yes

If "yes," list all such registrations on Schedule F, Page 1, Section II.

SBSE-BD/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date

8/9/23

Name of Applicant

GOLDMAN SACHS FINANCIAL MARKETS, L.P.

By: Signature

/s/ RIQUEZA FEASTER

Name of Person Signing on Applicant's behalf

RIQUEZA FEASTER

Title of Person Signing on Applicant's behalf

MANAGING DIRECTOR

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Filing Submission 0001085407-23-000007 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)