Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026201
Chunk: 262

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 262
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 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 in Goldman Sachs & Co. LLC’s June 30, 2021 Consolidated Statement of Financial Condition - https://www.goldmansachs.com/investor-relations/financials/subsidiary-financial-info/gsco/2021/gsco-06-30-2021.pdf. For further information, please refer to the periodic public filings by The

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Goldman Sachs Group, Inc. (copies of the firm’s recent filings on Form 10-K and Form 10Q may be found at www.gs.com), to Goldman Sachs & Co. LLC’s Form BD as periodically filed with the Securities and Exchange Commission. (FINRA’s BrokerCheck, which is based on the Form BD, can be found at http://brokercheck.finra.org/) and to the Commodity Futures Trading Commission Rule 1.55(K): FCM-Specific Disclosure Document https:// www.goldmansachs.com/disclosures/cftc_fcm_disclosures/cftc-gsco-disclosure-document.pdf . In this section, when we use the terms “we,” “us” and “our,” we mean Goldman Sachs & Co. LLC (GS&Co.) and its consolidated subsidiaries, and when we use the term “Goldman Sachs” we mean