Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056731
Chunk: 409

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 409
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 required cooperation of RBC in any investigation by the Division of Enforcement related to the subject matter of this action. As a result, the order finds that the CFTC expended considerable resources trying to obtain information and timely compliance with its subpoenas from RBC and RBCCM. Please see RBC’s Form BD, which is available on the FINRA BrokerCheck program, for more details. CME Case #20-CH-2008. For violations of CME’s Rule 971.A-Segregation, Secured and Cleared Swaps Customer Account Requirements - the Clearing House Risk Committee assessed a fine of $50,000 effective August 21, 2020. CME Case #18-CH-1804. For violations of CME’s Rule 971.A-Segregation, Secured and Cleared Swaps Customer Account Requirements - the Clearing House Risk Committee assessed a fine of $50,000 effective June 29, 2018. Included by the Sponsor from the NFA Website and not from RBC ICE Case 

# 2021-005. RBC was issued a summary fine in the amount of $5,000 for violating Rule 4.07(b) for executing block trades with quantities below the Minimum Quality Requirement for the applicable contract. Morgan Stanley & Co. International PLC (MSIP or MSLplc) Morgan Stanley & Co. International plc (“MSIplc”) is acting as a swap dealer for ProShares Trust II. MSIplc is provisionally registered in the U.S. with the National Futures Association (“NFA”) as a Swap Dealer (NFA ID: 0238917). The NFA BASIC tool identifies one regulatory action involving MSIplc: MSIplc is a wholly-owned subsidiary of Morgan Stanley (“MS” or the “Firm”). MS files annual reports and quarterly reports in which it discloses material information about legal proceedings, including actions brought by regulatory organizations and government agencies, relating to its derivatives, securities and commodities business that allege various violations of federal and state securities laws, including information about any material litigation or regulatory investigation. Full details on the items noted below can be found at: https://www.morganstanley.com/pub/content/msdotcom/en/about-us-ir/sec-filings.html This disclosure does not include any new matters or updates to existing matters arising during or after the third quarter of 2021. For active matters initiated prior to the third quarter of 2021, updates were based on the matters’ public U