Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 264

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 264
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 Panel ordered StoneX to pay a $70,000 fine. Effective Date: November 17, 2023. CME Case #: 23-CH-2304. Pursuant to an offer of settlement in which StoneX Financial, 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 StoneX Financial, 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. CME Case #: 22-CH-2209. Pursuant to an offer of settlement in which StoneX Financial Inc. neither admitted nor denied the rule violations upon which the penalty is based, on January 19, 2023, the Clearing House Risk Committee found that StoneX Financial Inc. violated CME Rules 930.A. and 930.F. In accordance with the settlement offer, the Committee imposed a $50,000 fine. Effective Date: January 20 th , 2023. ICE Case #: 2020-022. On July 20, 2022, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that StoneX Financial Inc. (“SX Financial”) and StoneX Markets LLC (“SX Markets”) may have violated Exchange Rule 4.04 in multiple instances between May 2020 and May 2021 by engaging in improper pre-hedging. In addition, the BCC found that SX Financial and SX Markets may have separately violated Exchange Rule 4.04 by adopting a risk policy that may have motivated their employees to engage in the improper pre-hedging activity noted above for certain contracts.Lastly, the BCC found that SX Markets may have violated Exchange Rule 4.07(c) by

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misreporting the execution time of certain block trades and submitting them beyond the 15-minute reporting window, and that SX Financial and SX Markets may have violated Exchange Rule 21.04 by failing to timely produce documents, books, or records requested by Compliance staff during the investigation of this matter. Disgorgement (jointly & severally) $225,606. The ICE imposed a fine, jointly and severally of $425,000. Effective date: July 20, 2022. CBOT/NYME Case #: DQA-21-0732