Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056731
Chunk: 241

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 241
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. violated Rule 536.C by failing to meet the documentation requirements for orders entered using Execution Operation Suspense Accounts and Bunched RFC Order Suspense Accounts and failing to properly use Bunched RFC Order Suspense Accounts. On January 26, 2022, StoneX Financial Inc. pursuant to Rule 512 (“Reporting Infractions”) was collectively issued a $5,000 fine for its violations of Rule 536.C. as follows: NYMEX - $2,500, CBOT - $2,500. Effective Date: February 14, 2022. MGE Case #: 20-I-28. The MGEX Disciplinary Committee charged StoneX Financial Inc. with reporting an offset of December 2020 Spring Wheat futures contracts during the prohibition period without the benefit of trade activity in violation of MGEX Rule 3.1.8. Without admitting or denying the charges, StoneX Financial Inc. submitted an offer of settlement. The settlement terms were accepted in satisfaction of the charges. As a result, MGE imposed a fine of $25,000. Effective Date: December 28th, 2021. CBOT Case #: DQA-21-0632: During the period of January 1, 2021 to March 31, 2021, StoneX Financial Inc. violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System.: On September 9, 2021, StoneX Financial Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $6,000 fine for its violations of Rule 576 (includes Cases CME-DQA-21-0632 and NYMEX-DQA-21-0632). The allocation of the fine across exchanges is based on the activity at each Designated Contract Market. CBOT-$3,000, CME-$2,000, NYMEX - $6,000. Effective Date: September 24, 2021. ICE Case #: 2019-030. A subcommittee of the Exchange’s Business Conduct Committee determined that in numerous instances between February 2019 and May 2020, StoneX Financial Inc. (“StoneX”), formerly INTL FCStone Financial Inc., may have violated Exchange Rule 6.15(a) by failing to submit to the Exchange daily large trader reports on reportable customer positions and Exchange Rule 4.01(a) by failing to have proper processes for reporting large trader positions. The committee imposed a fine of $75