Company: DEFI
Filing Date: 2025-03-25
Form Type: POS AM
Source: 0001999371-25-003118
Chunk: 149

Company: Tidal Commodities Trust I
Filing Date: 2025-03-25
Form: POS AM
Chunk 149
---
 to assign, register, and populate unique IDs (Tag 116) for an extensive number of orders placed and traded             
 on the Exchange. Specifically, certain customers using a third-party front-end trading software were inappropriately assigned           
 the same generic ID for Tag 116 on orders and trades placed on the Exchange. The BCC further determined that StoneX may have            
 additionally violated Rule 4.01(a) by failing to diligently supervise the accurate registration of unique IDs for customers;            
 and 4.01(b) by failing to establish, administer, and enforce supervisory systems, policies, and procedures that are reasonably designed 
 to achieve compliance with Exchange Rules. StoneX was issued a fine of $300,000.                                                        |

| ● | During the delivery period for the September 2023 COMEX Aluminum (ALI) futures contract, StoneX Financial,                      
 Inc. failed to accurately report the delivery notices (DN) in its large trader position files for the applicable trade dates in 
 several instances in violation of Rule 561. On November 15, 2023, pursuant to Rule 512, a fine in the amount of $5,000 was      
 assessed again StoneX Financial Inc. for its violations of Rule 561.                                                            |

| ● | Pursuant to an offer of settlement in which StoneX neither admitted nor denied the rule violations                                
 or factual findings upon which the penalty is based, on November 15, 2023, a Panel of the Chicago Mercantile Exchange (“CME”)     
 Business Conduct Committee (“Panel”) found that from September 6, 2022,through September 28, 2022, StoneX submitted               
 block trades to the Exchange with inaccurate execution times and failed to report block trades to the Exchange within the         
 required time period following execution in Three-Month SOFR futures and Eurodollar options on futures markets. Additionally,     
 the Panel found that StoneX failed to diligently supervise, monitor, and sufficiently train its employees as to relevant Exchange 
 rules and Market Regulation Advisory Notices in a manner sufficient to ensure compliance with the same. In accordance with        
 the settlement offer, the Panel ordered StoneX to pay a $70,000 fine.                                                             |

| ● | On March 16, 2023, the Clearing House Risk Committee at CME Group found that StoneX Financial,                                   
 Inc. violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G. Pursuant to an offer of settlement in 
 which StoneX Financial, Inc.