Company: EUO
Filing Date: 2025-03-18
Form Type: S-1/A
Source: 0001193125-25-056734
Chunk: 260

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-1/A
Chunk 260
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-159

DQA-24-1472 During the period of January 1, 2024 through March 31, 2024, SG Americas Securities, LLC violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. On September 18, 2024, SG Americas Securities, LLC., pursuant to Rule 512 (“Reporting Infractions”), was issued a $6,000 fine. CFTC Case #: 23-35. The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of four financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. SG Americas Securities, LLC was issued a fine of $75,000,000. Effective Date: August 8th, 2023. ICE Case #: 2022-031. SG Americas Securities LLC. was issued a summary fine in the amount of $10,000 for violating Rule 2.12 by failing to follow Clearing Organization procedures for an adjustment it made to the open interest it reported for trade date November 17, 2022 for the January 2023 Canola futures contract. Effective Date: 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,