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GOLDMAN SACHS & CO. LLC
Information
- Reporter ID
- GSBD
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://www.goldmansachs.com/compliance-rule605
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-25-2026 | https://www.goldmansachs.com/compliance-rule605 |
25-02240.pdf
Expungement Award
HAPI
Information
- Reporter ID
- HAPI
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.newrange.com/605/hapi-securities/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 10-21-2026 | https://public.newrange.com/605/hapi-securities/ | |
| 09-25-2026 | https://help.hapi.trade/en/articles/8982954-disclosures |
M1 FINANCE LLC
Information
- Reporter ID
- MOFO
- Reporter Type
- Broker-Dealer
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-25-2026 | https://m1-production-agreements.s3.us-east-1.amazonaws.com/documents/Important_Trading_and_Pricing_Information.pdf |
MOOMOO FINANCIAL INC.
Information
- Reporter ID
- FUTM
- Reporter Type
- Broker-Dealer
- Current Report URL
- http://public.s3.com/rule605/futm
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-25-2026 | http://public.s3.com/rule605/futm |