Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056733
Chunk: 244

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 244
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 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 Exchange. For a period of over four years, from February 2018 through the beginning of August 2022, StoneX, acting as a Futures Commission Merchant, failed to assign, register, and populate unique IDs (Tag 116) for an extensive number of orders placed and traded on the Exchange. Specifically, certain customers using a third-party front-end trading software were inappropriately assigned the same generic ID for Tag 116 on orders and trades placed on the Exchange. The BCC further determined that StoneX may have additionally violated Rule 4.01(a) by failing to diligently supervise the accurate registration of unique IDs for customers; and 4.01(b) by failing to establish, administer, and enforce supervisory systems, policies, and procedures that are reasonably designed to achieve compliance with Exchange Rules. StoneX was issued a fine of $300,000. Effective Date: December 14, 2023. CEI Case #: RSRH-23-7086. During the delivery period for the September 2023 COMEX Aluminum (ALI) futures contract, StoneX Financial, Inc. failed to accurately report the delivery notices (DN) in its large trader position files for the applicable trade dates in several instances in violation of Rule 561. On November 15, 2023, pursuant to Rule 512, a fine in the amount of $5,000 was assessed again StoneX Financial Inc. for its violations of Rule 561. Effective Date: December 1, 2023. CME Case #: 22-1617-BC. Pursuant to an offer of settlement in which StoneX neither admitted nor denied