Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 224

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 224
---
 an incorrect CTI Code. This is a second alleged violation of CFE Rule 414(k) by Barclays within a rolling twelve (12) month period. Barclays Capital, Inc. was issued a fine of $7,500. Effective Date: September 22, 2023. CBOT Case #: DQA-23-1112. During the period of October 1, 2022, to December 31, 2022, Barclays Capital, Inc. violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. On May 17, 2023, Barclays Capital, Inc., pursuant to Rule 512 (“Reporting Infractions”), was issued an $8,000 fine for its violations of Rule 576. Effective Date: June 2, 2023. 23-CH-2307. Pursuant to an offer of settlement in which Barclays Capital Inc. neither admitted nor denied the rule violations upon which the penalty is based, on March 16, 2023, the Clearing House Risk Committee found that Barclays Capital Inc. violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G. In accordance with the settlement offer, the Committee imposed a $50,000.00 fine. Effective Date: March 16, 2023. CFTC Case 22-39: CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods. On September 27th, the CFTC issued Barclays Bank, PLC and Barclays Capital Inc. a penalty of $75,000,000 for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. Effective Date: September 27th, 2022. On September 27, 2022, The Securities and Exchange Commission announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined penalties of more than $1.1 billion, and have begun implementing improvements to their compliance policies and procedures to settle these matters. Barclays Capital Inc., Deutsche Bank Securities Inc. together with DWS

-145

D