Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026201
Chunk: 258

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 258
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 without the intent to execute bona fide transactions. The order caused the automated trading system to submit two child orders to the Exchange. UBS was issued a fine of $10,000. CBOT Case #: 23-CH-2326. Pursuant to an offer of settlement in which UBS Securities LLC neither admitted nor denied the rule violations upon which the penalty is based, on November 9, 2023, the Clearing House Risk Committee found that UBS Securities LLC violated CBOT Rules 930.J.1., 971.A., and 980.A. In accordance with the settlement offer, the Committee imposed a $100,000 fine. Effective Date: November 10, 2023. CBOT Case #: 23-CH-2323. Pursuant to an offer of settlement in which UBS Securities LLC neither admitted nor denied the rule violations upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that UBS Securities LLC violated CBOT Rules 930.E.1, 930.E.2., 930.F., and 971.A. In accordance with the settlement offer, the Committee imposed a $50,000 fine. Effective Date: October 13, 2023. CFTC Case #22-42 / Release Number 8599-22. September 27, 2022. CFTC Orders 11 Financial Institutions to Pay Over $710 Million for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods. Registered Swap Dealers and FCMs Admit Use of Texts, WhatsApp and Other Unapproved Methods to Conduct Business. The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of 11 financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants. The settling registrants admit the facts detailed in the orders (with Bank of America and Nomura neither admitting nor denying certain specific findings of the Division of the Enforcement’s (DOE) investigation), are ordered to cease and desist from further violations of recordkeeping and supervision requirements, and are ordered to engage in specified remedial undertakings. The settling swap dealers and FCMs and their civil monetary penalties are: Bank of America (Bank of America, N.A.; BofA Securities,