Goldman Sachs & Co. LLC

06/17/2022 | Press release | Distributed by Public on 06/17/2022 08:43

Amendment to Information Required of Brokers and Dealers (Form X-17A-5/A)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
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FORM X-17A-5/A

OMB Number: 3235-0123

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X-17A-5/A: Filer Information

Filer CIK
0000042352
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5/A: Submission Information

Report for the Period Beginning
01-01-2021
and Ending
12-31-2021
Type of Registrant Broker-dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No
Please describe what information is being amended with this filing.
We have uploaded a revised copy of the Goldman Sachs & Co. LLC 12/31/21 audited year-end financial statements, which include an amended 17a-5 Compliance Report and report from our independent public auditors. There have been no other revisions to the audited year-end financial statements.

X-17A-5/A: A. Registrant Identification

Name of Broker-dealer
GOLDMAN SACHS & CO. LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
200 WEST STREET
City
NEW YORK
State/Country
NEW YORK
Mailing Zip/ Portal Code
10282-2198

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Thomas J. Favia
Telephone Number
2129021710

X-17A-5/A: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
PricewaterhouseCoopers LLP
Address 1
300 Madison Avenue
City
New York
State/Country
NEW YORK
Mailing Zip/ Postal Code
10017
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5/A: Signature

Oath or Affirmation

I, Brian Doyle, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of GOLDMAN SACHS & CO. LLC, as of 12-31-2021, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Receivables from customers and counterparties includes $10,761,252 receivable from Executive Officers and payables to customers and counterparties includes $68,081,210 payable to Executive Officers. Additionally, the account balances of certain affiliates are included in receivables from customers and counterparties or payables to customers and counterparties for purposes of financial statement presentation. In addition, pursuant to Financial Industry Regulatory Authority Rule 4140, we affirm that the attached consolidated financial statements and supplemental financial information as of December 31, 2021, have been or will be made available to Executive Officers of The Goldman Sachs Group, Inc.

Signature
Brian Doyle
Title
Chief Financial Officer

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.