Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 285

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 285
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, policies, and procedures that are reasonably designed to ensure compliance with Exchange Rules. The order requires Goldsman Sachs to pay a penalty of $105,000. Effective Date: September 20, 2023. CFTC Case #: 23-39. The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. The order finds Goldman violated the cease-and-desist provision of a prior order and committed recordkeeping violations in connection with its failure to properly record and retain certain audio files. (See CFTC Press Release No. 8086-19.) The order requires Goldman to pay a $5.5 million civil monetary penalty and to cease and desist from further violations of the recordkeeping provisions of the Commodity Exchange Act and CFTC regulations, as charged. Effective Date: August 29th, 2023. CFTC Case #: 23-09. The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC (Goldman) for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that Goldman failed to disclose dozens of pre-trade-mid-market marks (PTMMM), in violation of Regulation

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23.431, and failed to communicate to clients in a fair and balanced manner based on principles of fair dealing and good faith, in violation of Regulation 23.433. The order imposes a $15,000,000 civil monetary penalty. Effective Date: April 10, 2023. CME Case #: 23-CH-2308. Pursuant to an offer of settlement in which Goldman Sachs & Co. LLC neither admitted nor denied the rule violations upon which the penalty is based, on March 16, 2023, the Clearing House Risk Committee found that Goldman Sachs & Co. LLC violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G. In accordance with the settlement offer, the Committee imposed a $50,000.00 fine. Effective Date: March 16, 2023. CME Case 

# RSRH-22-6737 During the month of September 2022, Goldman Sachs & Co. LLC inaccurately reported its large trader positions and submitted position adjustments after the prescribed deadline in several instances of CME contracts in violation of Rule 561. On October 5, 2022, pursuant to Rule 512, a fine in the amount of