Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 201

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 201
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16, 2023. ICE Case #: 2021-014. On March 15, 2023, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that ADM Investor Services, Inc. (“ADMIS”) may have violated legacy Exchange Rule 2.22 (currently Rule 2.12) by misreporting open interest in various Henry LD1 Fixed Price Futures contracts between January 2020 and January 2021 and by misreporting open interest for the December 2021 Cocoa Futures contract on November 15, 2021, the day before first notice day. The BCC additionally determined that ADMIS may have violated Exchange Rule 4.01(b) by failing to establish and administer proper procedures for reporting open interest. The Committee imposed a $100,000.00 fine. Effective Date: March 16, 2023. ICE Case #: 2021-008. On October 12, 2022, a subcommittee of the Exchange’s Business Conduct Committee determined that ADM Investor Services Inc. (“ADMIS”) may have violated Exchange Rule 9.23(a)(i) by failing to ensure that either the proper Weight Notes or weight requests were registered/submitted on the Exchange’s commodity operations system in a manner that would allow for the timely weighing of the cocoa by the delivery (settlement) date of December 2, 2020. ADMIS’s actions required the parties involved to use an Alternative Delivery Process, on December 3, 2020, for settlement of the delivery. The Committee imposed a $25,000.00 fine. Effective Date: October 12, 2022. CFTC Case #: 22-50. Washington, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against ADM Investor Services Inc. (ADMIS), a registered futures commission merchant (FCM) in Chicago, Illinois. The order finds that ADMIS failed to supervise its employees and agents in their handling of commodity interest accounts, and failed to perform its supervisory duties diligently. The order requires ADMIS to pay a $500,000 civil monetary penalty and to cease and desist from any further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged. The Committee imposed a $500, 000.00 fine. Effective Date: September 29, 2022. CBOT Case #: 22-CH-2202. Pursuant to an offer of settlement