Company: DEFI
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001999371-25-003249
Chunk: 147

Company: Tidal Commodities Trust I
Filing Date: 2025-03-27
Form: 424B3
Chunk 147
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 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. 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