Company: EUO
Filing Date: 2025-02-13
Form Type: S-1
Source: 0001193125-25-026199
Chunk: 216

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-1
Chunk 216
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 see RBC’s Form BD, which is available on the FINRA BrokerCheck program, for more details. CME Case #20-CH-2008. For violations of CME’s Rule 971.A-Segregation, Secured and Cleared Swaps Customer Account Requirements - the Clearing House Risk Committee assessed a fine of $50,000 effective August 21, 2020. CME Case #18-CH-1804. For violations of CME’s Rule 971.A-Segregation, Secured and Cleared Swaps Customer Account Requirements - the Clearing House Risk Committee assessed a fine of $50,000 effective June 29, 2018. Included by the Sponsor from the NFA Website and not provided by RBC CME Case #: 23-CH-2313. Pursuant to an offer of settlement in which RBC Capital Markets, LLC (“RBCCM”) consented to entry of findings by the Clearing House Risk Committee (“CHRC”) but neither admitted nor denied the findings or the rule violations upon which the penalty is based, on January 18, 2024, the CHRC found that RBCCM: (1) contractually agreed for margin calls to be met in a timeframe that was longer than one business day; and (2) contractually agreed to a period of time during which the firm’s full discretion to determine when and under what circumstances positions could be liquidated was restricted. The CHRC thereby concluded that RBCCM violated CME Rules 930.E.1. and 930.K.1. The CHRC also found that RBCCM has since amended the relevant customer agreement language. In accordance with the settlement offer, the CHRC imposed a $25,000 fine. Effective Date: January 19, 2024. CME Case #: 23-CH-2322. Pursuant to an offer of settlement in which RBC Capital Markets, LLC neither admitted nor denied the rule violation upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that RBC Capital Markets, LLC violated CME Rule 980.A. In accordance with the settlement offer, the Committee imposed a $50,000 fine. Effective Date: October 12, 2023. CME Case #: DQA-23-1179. Pursuant to the results of a back office CTR exam for trade dates January 3, 2023 through March 24, 2023