Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056733
Chunk: 238

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 238
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2014, and January 26, 2016, SGAS had a riskless principal mandate in effect. The Panel concluded that as a result of the foregoing, SGAS violated NYMEX Rules 432.W. and legacy Rule 526. In accordance with the settlement offer, the Panel ordered SGAS to pay a fine in the amount of $350,000 ($300,000 of which is allocated to NYMEX) and to disgorge profits in the amount of $142,910. Effective Date: July 19. 2019. CBOT Case #: 15-0115-BC: Pursuant to an offer of settlement in which SGAS Americas Securities, LLC(“SGAS”) (as successor to Newedge USA, LLC)) neither admitted nor denied the rule violations upon which the penalty is based, on July 17, 2019, a Panel of the Chicago Board of Trade Business Conduct Committee (“Panel”) found that on multiple occasions between January 14, 2014, and March 18, 2014, SGAS had a riskless principal mandate in effect. er. By entering into the hedge transaction and establishing the price of the hedge transaction prior to consummating the customer block trade, SGAS was able to guarantee a profit on the subsequent execution opposite the customer. The Panel concluded that as a result of the foregoing, SGAS violated CBOT Rules 432.W. and legacy Rule 526. In accordance with the settlement offer, the Panel ordered SGAS to pay a fine in the amount of $350,000 ($50,000 of which is allocated to CBOT) and to disgorge profits in the amount of $9,715. Effective Date: July 19. 2019. CBOE Case 

# USFI-161. CFE Rule 403(a)(x) - Failure to Submit Correct CTI Code Information – Pursuant to CFE Rule 403(a)(x) all Orders entered into the CFE System contain accurate and complete information, including the Customer Type Indicator (“CTI”) code. From February 26, 2018 to June 29, 2018 SGAS sent orders with incorrect CTI codes for 29 different accounts. The total number of orders sent with
-148

incorrect CTI codes was 33,890 or 18.9% of the 179,323 total orders from SGAS during that period. This is the Firm’s 2nd violation of Rule 403(a)(