Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026201
Chunk: 233

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 233
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: February 8, 2023. ICE Case #: 2020-015: On October 19, 2021, a subcommittee of the Exchange’s Business Conduct Committee determined that in January 2020 and February 2020, SG Americas Securities, LLC (“SGAS”), acting in its capacity as the receiving Firm, may have violated Exchange Rule 4.37(c)(ii) by transferring positions between customer accounts with different beneficial ownership without first obtaining Exchange approval. SG Americas Securities, LLC was issued a summary fine in the amount of $25,000. Effective Date: October 19th, 2021. ICE Case #: 2019-020: SG Americas Securities, LLC was issued a summary fine in the amount of $10,000 for violating Rules 2.22 & 6.15(a) by failing to report accurate Open Interest and Large Trader positions. Effective Date: May 29th, 2020. CBOT Case #: DQA-20-0281/ NYME Case #: DQA-20-0281: During the period of October 1, 2019 to December 31, 2019, SG Americas Securities LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. On April 22, 2020, SG

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Americas Securities LLC, pursuant to Rule 512 (“Reporting Infractions”), was issued the following fines for its violation of Rule 576. NYMEX $2,500 / CBOT $2,500. Effective Date: May 8, 2020. CBOT Case #DQA-19-002. During the period of January 1, 2019 to March 31, 2019, SG Americas Securities LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. Effective Date: August 2, 2019. CBOT Case #: DQA-19-0002 / CME Case #: DQA-19-0002. On July 17, 2019, SG Americas Securities LLC, pursuant to Rule 512 (“Reporting Infractions”), was issued the following fines by the 512 Committee for its violation of Rule 576: CME $3,000 CBOT $3,000 Total $6,000. Effective Date: August 2, 2019. NYME Case #: 15-0115-BC: Pursuant to an offer of settlement in which SG Americas Securities