Company: EUO
Filing Date: 2025-03-18
Form Type: S-1/A
Source: 0001193125-25-056734
Chunk: 267

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-1/A
Chunk 267
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, jointly paid a $280,000 civil monetary penalty to the CFTC. The Futures Commission Merchant (“FCM”) division of the INTL FCStone Financial, Inc. (“IFF”) is subject to litigation and regulatory enforcement in the normal course of business. Except as discussed above, the current or pending civil litigation, administrative proceedings, or enforcement actions in which the firm is involved are not expected to have a material effect upon its condition, financial or otherwise. The firm vigorously defends, as a matter of policy, civil litigation, reparation, arbitration proceedings, and enforcement actions brought against it.

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Included by the Sponsor from the NFA website and not provided by StoneX ICE Case #: 2023-019. In September 19, 2024, a subcommittee of the Exchange’s Business Conduct Committee determined that on April 27, 2023, StoneX Financial Inc. (“StoneX”) may have violated Exchange Rule 4.02(c) when an employee placed opposing buy and sell orders in a Cocoa Futures spread market for the same Principal in a way where he knew or should have known that the orders would trade opposite one another resulting in a wash trade. A fine of $20,000 was issued to StoneX Financial. CBOT Case #: DQA-24-1502 . During the month of April 2024, StoneX Financial, Inc. submitted large trader position adjustments after the prescribed deadline in several instances in violation of Rule 561, and inaccurately reported long positions eligible for delivery in the May 2024 Soybean Oil futures contract and May 2024 Wheat futures contract in violation of Rule 807. On May 16, 2024, Stonex Financial Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $10,000 fine for its violations of Rules 561 and 807 (see companion case NYMEX DQA-24-1502), as follows: CBOT - $8,000, and NYMEX - $2,000. Effective Date: June 4, 2024. ICE Case #: 2022-027. On October 18, 2023, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that StoneX Financial Inc. (“StoneX”) may have violated Exchange Rules 4.15(a), 4.15(b), and 4.15(c) by failing to include a unique ID for Registered Operators on certain orders and trades it transmitted to the