Company: DEFI
Filing Date: 2025-03-25
Form Type: POS AM
Source: 0001999371-25-003118
Chunk: 150

Company: Tidal Commodities Trust I
Filing Date: 2025-03-25
Form: POS AM
Chunk 150
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 neither admitted nor denied the rule violations upon which the penalty is based, the Clearing House 
 Risk Committee imposed a $100,000.00 fine which was effective on March 16, 2023.                                                 |

| ● | On January 20, 2023, the Clearing House Risk Committee at CME Group found that StoneX Financial                                  
 Inc. violated CME Rules 930.A and 930.F. Pursuant to an offer of settlement in which StoneX Financial, Inc. neither admitted nor 
 denied the rule violations upon which the penalty is based, the Clearing House Risk Committee imposed a $50,000 fine which was   
 effective on January 20, 2023.                                                                                                   |

| ● | On December 15, 2022, the Market Regulation Department of CME Group Inc. (“CME”) notified                                             
 StoneX Financial Inc. (“SFI”) that it was conducting a formal investigation into block trades placed in September 2022                
 that could potentially be in violation of CME Rule 526 and Market Regulation Advisory Notice RA2004-5R. On July 6, 2023, CME notified 
 SFI that it has referred the case to Market Regulation’s Enforcement Division. Settlement negotiations are ongoing.                   |

| ● | On July 20, 2022, a subcommittee on the ICE Future US’s Business Conduct Committee determined                                    
 that in numerous instances between May 2020 and May 2021 StoneX Financial Inc. and StoneX Markets LLC may have violated Exchange 
 Rule 4.04 by engaging in improper pre-hedging and adopting a risk policy that may have motivated employees to engage in improper 
 pre-hedging for certain contracts. In addition, the Committee found that StoneX Financial Inc. and StoneX Markets LLC may have   
 violated Exchange Rules 4.01(a), 4.07(c), and 21.04. In accordance with the settlement offer, in which StoneX Financial Inc. and 
 StoneX Markets LLC neither admitted nor denied the alleged rule violations, StoneX Financial Inc. and StoneX Markets LLC agreed  
 to pay a collective monetary penalty of $425,000 and disgorge $225,606.80 in profits.                                            |

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| ● | On March 23, 2021, a subcommittee of the ICE Futures US’s Business Conduct Committee determined                                      
 that in numerous instances between February 2019 and May 2020, StoneX