Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 285

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 285
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 UBSS engaged in pre-execution discussions with its customers and subsequently consummated trades based on those pre-execution discussions. The trades were consummated by first entering a proprietary order, and then entering the customer order. UBSS was unable to locate communication records for some of these 13 trades. As such, UBSS was fined $35,000 on April 12, 2018 for violations of Rule 611 (Trading Against Customers Orders) and Rule 502 (Inspection and Delivery) by the OCX Regulatory Oversight Committee. Effective Date: April 12, 2018. CME Case #: 17-9238. During the period of January 1 through March 31, 2017, UBSS violated Rule 576 by failing to maintain accurate and current information in the Exchange Fee System. On July 19, 2017, UBSS, pursuant to Rule 512 (“Reporting Infractions”), was issued a $5,000 fine by the 512 Committee for its violations of Rule 576. Effective Date: August 8, 2017. ICE Case #: 2016-093. For violations of Exchange Rule 2.22 by reporting inaccurate open interest for the December 2016 Coffee “C” future contract for trade dates November 21-30, 2016, UBSS was issued a fine of $10,000. Effective Date: February 15, 2017. ICE Case #: 2016-065. For violations of Exchange Rule 2.22 by reporting inaccurate open interest for the September 2016 Mini MSCI Emerging Market Index futures contract for trade date August 8, 2016, UBSS was issued a fine of $5,000. Effective Date: February 15, 2017. Goldman Sachs & Co. LLC (“GS” or “GS & Co.”) Goldman Sachs & Co. LLC, in addition to being a registered futures commission merchant, is a registered broker dealer. From time to time, Goldman Sachs & Co. LLC and its affiliates are involved in judicial, regulatory and arbitration concerning matters arising in connection with the conduct of its business. Goldman Sachs & Co. LLC’s management believes, based on currently available information, that the results of such proceedings, in the aggregate, will not have a material adverse effect on the firm’s financial condition, but may be material to the firm’s operating results for any particular period, depending, in part, upon the results for such period. Please refer to Note 20 contained