Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056733
Chunk: 248

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 248
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L 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. UBS Securities LLC is a member of various US futures and securities exchanges. UBS Securities LLC is and has been a defendant in numerous legal proceedings, including actions brought by regulatory organizations and government agencies, relating to its securities and commodities business that allege various violations of federal and state securities laws. Actions with respect to UBS Securities LLC’s Futures Commission Merchant business are publicly available on the website of the National Futures Association (http://www.nfa.futures.org) and with respect to UBS Securities LLC’s brokerage business are publicly available on the website of FINRA (http://www.finra.org). UBS AG and UBS Securities LLC operate in a legal and regulatory environment that expose them to significant litigation and similar risks arising from disputes and regulatory proceedings. As a result, they are involved in various disputes and legal proceedings, including litigation, arbitration, and regulatory and criminal investigations. Specific litigation