Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026203
Chunk: 182

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 182
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. In accordance with the settlement offer, the Panel ordered ADMIS to pay a $450,000 fine in connection with this case and companion cases CBOT and COMEX 20-1401-BC ($175,000 of which is allocated to CME). Effective Date: September 21, 2023. CME Case #: 23-CH-2306. Pursuant to an offer of settlement in which ADM Investor Services, 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 ADM Investor Services, Inc. violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G. In accordance with the settlement offer, the Committee imposed a $100, 000.00 fine. Effective Date: March 16, 2023. ICE Case #: 2021-014. On March 15, 2023, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that ADM Investor Services, Inc. (“ADMIS”) may have violated legacy Exchange Rule 2.22 (currently Rule 2.12) by misreporting open interest in various Henry LD1 Fixed Price Futures contracts between January 2020 and January 2021 and by misreporting open interest for the December 2021 Cocoa Futures contract on November 15, 2021, the day before first notice day. The BCC additionally determined that ADMIS may have violated Exchange Rule 4.01(b) by failing to establish and administer proper procedures for reporting open interest. The Committee imposed a $100,000.00 fine. Effective Date: March 16, 2023. ICE Case #: 2021-008. On October 12, 2022, a subcommittee of the Exchange’s Business Conduct Committee determined that ADM Investor Services Inc. (“ADMIS”) may have violated Exchange Rule 9.23(a)(i) by failing to ensure that either the proper Weight Notes or weight requests were registered/submitted on the Exchange’s commodity operations system in a manner that would allow for the timely weighing of the cocoa by the delivery (settlement) date of December 2, 2020. ADMIS’s actions required the parties involved to use an Alternative Delivery Process, on December 3, 2020, for settlement of the delivery. The Committee imposed a $25,000.00 fine. Effective Date: October 12, 2022. CFTC Case