Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056731
Chunk: 199

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 199
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 business from time to time. The Company and the Group are also subject to enquiries and examinations, requests for information, audits, investigations and legal and other proceedings by regulators, governmental and other public bodies in connection with its business. The Company and the Group as applicable are cooperating with the relevant authorities and keeping all relevant agencies briefed as appropriate in relation to these matters and others described in this note on an ongoing basis. At the present time, the Company does not expect the ultimate resolution of any of these other matters to have a material adverse effect on its financial position. Included by the Sponsor from the NFA Website and not provided by BCI CBOT Case #: DQA-24-1403. During the period of October 1, 2023, through December 31, 2023, Barclays Capital Inc. violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. On May 16, 2024, Barclays Capital Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $10,000 fine for its violations of Rule 576 (see companion case CME DQA-24-1403) as follows: CBOT - $7,500, and CME - $2,500. Effective Date: June 3, 2024. NYME Case #: 23-CH-2324. Pursuant to an offer of settlement in which Barclays Capital Inc. (“BCI”) neither admitted nor denied the finding or the rule violation upon which the penalty is based, on March 14, 2024, the Clearing House Risk Committee (“CHRC”) found that BCI contractually agreed to a period of time during which the firm’s full discretion to determine when and under what circumstances positions could be liquidated was restricted. The CHRC thereby concluded that BCI violated NYMEX Rules 930.K. The CHRC also found that BCI has since corrected the finding and the cited customer agreement is now in compliance with Exchange rules. In accordance with the settlement offer, the CHRC imposed a $25,000 fine. Effective Date: March 15, 2024. CBOE Case #: URE-253/USFI-2037. On several occasions in 2023, Barclays appears to have violated CFE Rule 414(k). Specifically, for multiple ECRP Trades executed during the period of January 1, 2023 through July 27, 2023, Barclays’s Authorized Reporter’s notification to the Exchange