Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026201
Chunk: 257

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 257
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 court denied QS Holdco’s motion to alter or amend the judgment. In October 2021, the court dismissed the SL-x complaints. The SL-x affiliates have appealed. Government sponsored entities (“GSE”) bonds Starting in February 2019, class action complaints were filed in the US District Court for the Southern District of New York against UBS Securities LLC and other banks on behalf of plaintiffs who traded GSE bonds. A consolidated complaint was filed alleging collusion in GSE bond trading between January 1, 2009 and January 1, 2016. In December 2019, UBS Securities LLC and eleven other defendants agreed to settle the class action for a total of $250,000. The settlement has been approved by the court and this matter is now resolved. Additionally, UBS and reportedly other banks responded to investigations and requests for information from various authorities regarding US Treasury securities and other government bond trading practices. Auction Rate Securities

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UBS was named in several arbitration and litigation claims asserted by issuers of auction rate securities (“ARS”) arising out of the February 2008 ARS market dislocation. Included by the Sponsor from the NFA website and not provided by UBS Securities LLC (UBSS) CME Case #: DQA-24-1391. During the period of October 1, 2023, through December 31, 2023, UBS Securities LLC violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. Additionally, UBS failed to ensure that Operator IDs at the firm were unique. On May 16, 2024, UBS Securities LLC, pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $10,000 fine for its violations of Rule 576 (see companion cases CBOT DQA-24-1391, NYMEX DQA 24-1391, and COMEX DQA 24-1391) as follows: CME - $2,500, CBOT - $2,500, COMEX - $2,500, and NYMEX - $2,500. Effective Date: June 4, 2024. CBOE Case #: URE-288-09. On January 26, 2023, UBS personnel entered an order in the February 2023 / March 2023 Cboe Volatility Index (VX) futures calendar spread in UBS’s automated trading system for purposes of testing market data connectivity and