Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 189

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 189
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 Capital Markets, LLC violated CME Rule 980.A. In accordance with the settlement offer, the Committee imposed a $50,000 fine. Effective Date: October 12, 2023. CME Case #: DQA-23-1179. Pursuant to the results of a back office CTR exam for trade dates January 3, 2023 through March 24, 2023, RBC Capital Markets LLC Data Entry Errors exceeded the 10% threshold level mandated by Rule 536.F. Pursuant to the Rule 536.F sanction schedule, RBC Capital Markets LLC was issued a $5,000.00 fine on May 22, 2023 for its second violation of Rule 536.F. within 24 months. Effective Date: June 7, 2023. Please see RBC’s Form BD, which is available on the FINRA BrokerCheck program, for more details. CME Case #20-CH-2008. Pursuant to an offer of settlement in which RBC Capital Markets LLC neither admitted nor denied the rule violations upon which the penalty is based, on August 20, 2020, the Clearing House Risk Committee found that RBC Capital Markets LLC violated CME Rule 971.A.1. In accordance with the settlement offer, the Committee imposed a $50,000 fine, effective August 21, 2020.

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CME Case #18-CH-1804. Pursuant to an offer of settlement in which RBC Capital Markets LLC neither admitted nor denied the rule violation upon which the penalty is based, on June 28, 2018, the Clearing House Risk Committee found that RBC Capital Markets LLC violated CME Rule 971.A.1. In accordance with the settlement offer, the Clearing House Risk Committee imposed a $50,000 fine, effective June 29, 2018. NYME Case #: 20-1311-BC. Pursuant to an offer of settlement in which RBC Capital Markets, LLC (“RBC”) neither admitted nor denied the rule violations upon which the penalty is based, on July 22, 2021, a Panel of the NYMEX Business Conduct Committee (“BCC Panel”) found that on multiple occasions during March 2020, RBC submitted block trades in Crude Oil and Natural Gas futures to the Exchange outside the reporting time requirements and submitted inaccurate block trade execution times to the Exchange on one or more occasions. RBC also failed to properly