Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065647
Chunk: 173

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 173
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 offer, the Panel ordered ADMIS to pay a fine of $650,000. Effective Date: January 30, 2020. ICE Case #: 2019-036. ADM Investor Services, Inc. was issued a summary fine in the amount of $10,000 for violating Rule 2.22 by reporting inaccurate open interest for the October 2019 Sugar No. 11 futures contract for ten consecutive trade dates from September 16, 2019 through September 27, 2019. Effective Date: October 30, 2019. CFTC Case #: 19-11. CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees. The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against ADM Investor Services Inc. (ADMIS), a registered futures commission merchant located in Chicago, Illinois. The Order requires ADMIS to pay a civil monetary penalty of $250,000 and cease and desist from any further violations of the Commodity Exchange Act or CFTC Regulations. The Order finds that from at least December 1, 2014, to September 24, 2017, ADMIS failed to supervise the handling of commodity interest accounts carried by ADMIS and introduced by an ADMIS-guaranteed introducing broker (GIB). In particular, the Order finds that ADMIS had a supervisory system in place as evidenced by its compliance manual; nevertheless, ADMIS failed to adequately supervise its employees and agents to ensure they: (1) executed bunched orders that properly segregated the GIB’s proprietary trades from its customer trades; (2) executed bunched orders that properly segregated trades from discretionary and non-discretionary GIB customer accounts; and (3) executed orders for non-discretionary GIB customers only when the GIB had obtained specific customer authorization for the transaction. Effective Date: July 12, 2019. RBC Capital Markets LLC (“RBC” or the “Company”) RBC Capital Markets, LLC (“RBC Capital”), is a large broker dealer subject to many different complex legal and regulatory requirements. As a result, certain of RBC Capital’s regulators may from time to time conduct investigations, initiate enforcement proceedings and/or enter into settlements with RBC Capital with respect to issues raised in various investigations. RBC Capital complies fully with its regulators in all investigations being conducted and in all settlements it reaches. In addition, R