Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 284

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 284
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-CH-2312. Pursuant to an offer of settlement in which Goldman Sachs & Co. LLC neither admitted nor denied the rule violation upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that Goldman Sachs & Co. LLC violated CBOT Rule 930.E.3. In accordance with the settlement offer, the Committee imposed a $150,000 fine. In accepting this settlement offer, the Committee agreed to waive the fine if no similar violation is found during the next risk based examination. Effective Date: October 13, 2023. CFTC Case #: 23-59. The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges with affiliates of three financial institutions for a variety of swap dealer activities including failures related to swap data reporting and, in one case, failures related to the disclosure of Pre-Trade Mid-Market Marks (PTMMMs). order imposes a $30,000,000 civil monetary penalty and includes Goldman taking steps to develop a written remediation plan and retain a consultant to advise on and assess its remediation plan. Effective Date: September 29, 2023. CFTC Case #: 23-60. The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for failure to maintain adequate supervisory systems and controls to ensure its customers’ trading was not disruptive and for material omissions in a letter to the CFTC’s Division of Enforcement (DOE). The CFTC imposed a civil monetary penalty of $3 million. Effective Date: September 29, 2023. ICE Case #: 2022-009. On September 20, 2023, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that Goldman Sachs International (“GSI”) and Goldman Sachs & Co. LLC (“GS&Co.”) may have violated Exchange Rule 6.15(a) by misreporting large trader positions in multiple instances in the Henry Penultimate Fixed Price option contract between November 2021 and November 2022. The BCC separately determined that GSI may have violated Exchange Rule 2.12 by misreporting open interest in multiple instances in the ICE WTI 1st Line Future contract between April 2021 and December 2022. Lastly, the BCC determined that both entities may have violated Exchange Rule 4.01(b) by failing to establish, administer, and enforce effective supervisory systems