Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065647
Chunk: 236

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 236
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 that StoneX thereby violated CBOT Rule 853.A.1. In accepting the offer of settlement, the Panel considered that StoneX self-reported the violative transfers to the Exchange. In accordance with the settlement offer, the Panel ordered StoneX to pay a fine of $20,000. Effective Date: December 11, 2020. ICE Case #: 2020-031. StoneX Financial Inc. was issued a summary fine in the amount of $10,000 for violating Rule 2.22 by reporting inaccurate open interest for the July 2021 Coffee “C” futures contract for trade date October 12, 2020. Effective Date: November 13, 2020. CME Case #: DQA-20-0447. During the period of April 1, 2020, through June 30, 2020, INTL FC Stone Financial Inc. (n/k/a StoneX Financial Inc.) violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System.On October 7, 2020, pursuant to Rule 512 (“Reporting Infractions”), INTL FC Stone Financial Inc. was issued a $5,000 fine for its violation of Rule 576. Effective Date: October 26, 2020. UBS Securities LLC UBS AG’s principal business address is Bahnhofstrasse 45, Zurich, CH 8001, Switzerland. UBS is acting as a Swap Dealer for the Funds. UBS AG is registered in the US with the Commodity Futures Trading Commission (CFTC) as a provisionally registered Swap Dealer. UBS AG is a subsidiary of UBS Group AG. From time to time, UBS AG, UBS Group AG and its and their subsidiaries, officers and employees are involved in proceedings and receive inquiries, subpoenas and notices of investigation relating to various aspects of its business some of which result in sanction. Details are set out in UBS AG’s and UBS Group AG’s quarterly and annual reporting, which can be found at https://www.ubs.com/global/en/investor-relations.html.

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UBS Securities LLC’s principal business address is 1285 Avenue of the Americas, New York, NY 10019. UBS Securities LLC is a futures clearing broker for the Funds. UBS Securities LLC is registered in the US with the Financial Industry Regulatory Authority (FINRA) as a Broker-Dealer and with the CFTC as a Futures Commission Merchant. U