Company: EUO
Filing Date: 2025-03-18
Form Type: S-1/A
Source: 0001193125-25-056734
Chunk: 230

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-1/A
Chunk 230
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145

Distributors Inc. and DWS Investment Management Americas, Inc.; Goldman Sachs & Co. LLC; Morgan Stanley & Co. LLC together with Morgan Stanley Smith Barney LLC; and UBS Securities LLC together with UBS Financial Services Inc. have each agreed to pay penalties of $125 million. CBOT Case: DQA-22-0855. During the period of October 1, 2021 to December 31, 2021, Barclays Capital, Inc. violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. On June 29, 2022, Barclays Capital, Inc., pursuant to Rule 512 (“Reporting Infractions”), was issued a $6,000 fine for its violation of Rule 576. Effective Date: July 15, 2022. CBOE Case #: USFI-1050-09. From in or about August 2019 through in or about January 2020, Barclays Capital Inc. transferred VX futures positions between it and Barclays Bank PLC, an affiliated but separate legal entity, on four occasions, in violation of CFE Rule 420. From on or about January 10, 2020 through on or about January 13, 2020, Barclays Capital Inc. misreported open interest related to the Oct’20 VX futures contract that impacted the applicable product’s overall open interest, in violation of CFE Rule 410A. Finally, despite receiving directives from CFE Staff in 2011 and 2016 that it could only transfer positions pursuant to the limited circumstances provided in CFE Rule 420 and the restrictions in its written supervisory procedures, Barclays Capital Inc. failed to establish, maintain and administer reasonable written supervisory procedures to ensure it complied with CFE Rule 420. Action Type: Books and Records Violation Fine: $75,000. Effective Date: June 23, 2021. CBOT Case #: DQA-20-0367. Barclays Capital Inc. failed to maintain a complete electronic audit trail for various trade dates during the timeframe of June 2015 through February 2020. On July 23, 2020, pursuant to Rule 512 (“Reporting Infractions”), Barclays Capital Inc. was issued a $10,000 fine for its violation of Rule 536.B.2. Effective Date: August 11, 2020. Deutsche Bank Securities Inc. (“DBSI” or the “Corporation”) Legal Contingencies The Corporation operates in a