Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065647
Chunk: 225

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 225
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C registrants. SG Americas Securities, LLC was issued a fine of $75,000,000. Effective Date: August 8th, 2023. ICE Case #: 2022-031. SG Americas Securities LLC. was issued a summary fine in the amount of $10,000 for violating Rule 2.12 by failing to follow Clearing Organization procedures for an adjustment it made to the open interest it reported for trade date November 17, 2022 for the January 2023 Canola futures contract. Effective Date: February 8, 2023. ICE Case #: 2020-015: On October 19, 2021, a subcommittee of the Exchange’s Business Conduct Committee determined that in January 2020 and February 2020, SG Americas Securities, LLC (“SGAS”), acting in its capacity as the receiving Firm, may have violated Exchange Rule 4.37(c)(ii) by transferring positions between customer accounts with different beneficial ownership without first obtaining Exchange approval. SG Americas Securities, LLC was issued a summary fine in the amount of $25,000. Effective Date: October 19th, 2021. ICE Case #: 2019-020: SG Americas Securities, LLC was issued a summary fine in the amount of $10,000 for violating Rules 2.22 & 6.15(a) by failing to report accurate Open Interest and Large Trader positions. Effective Date: May 29th, 2020. CBOT Case #: DQA-20-0281/ NYME Case #: DQA-20-0281: During the period of October 1, 2019 to December 31, 2019, SG Americas Securities LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. On April 22, 2020, SG Americas Securities LLC, pursuant to Rule 512 (“Reporting Infractions”), was issued the following fines for its violation of Rule 576. NYMEX $2,500 / CBOT $2,500. Effective Date: May 8, 2020. CBOT Case #DQA-19-002. During the period of January 1, 2019 to March 31, 2019, SG Americas Securities LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. Effective Date: August 2, 2019. CBOT Case #: DQA-19-0002 / CME Case #: