Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 203

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 203
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 violations of Rule 576 (see companion case CME DQA-24-1403) as follows: CBOT - $7,500, and CME - $2,500. Effective Date: June 3, 2024. NYME Case #: 23-CH-2324. Pursuant to an offer of settlement in which Barclays Capital Inc. (“BCI”) neither admitted nor denied the finding or the rule violation upon which the penalty is based, on March 14, 2024, the Clearing House Risk Committee (“CHRC”) found that BCI 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 BCI violated NYMEX Rules 930.K. The CHRC also found that BCI has since corrected the finding and the cited customer agreement is now in compliance with Exchange rules. In accordance with the settlement offer, the CHRC imposed a $25,000 fine. Effective Date: March 15, 2024. CBOE Case #: URE-253/USFI-2037. On several occasions in 2023, Barclays appears to have violated CFE Rule 414(k). Specifically, for multiple ECRP Trades executed during the period of January 1, 2023 through July 27, 2023, Barclays’s Authorized Reporter’s notification to the Exchange included an incorrect CTI Code. This is a second alleged violation of CFE Rule 414(k) by Barclays within a rolling twelve (12) month period. Barclays Capital, Inc. was issued a fine of $7,500. Effective Date: September 22, 2023. CBOT Case #: DQA-23-1112. During the period of October 1, 2022, to December 31, 2022, Barclays Capital, Inc. violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. On May 17, 2023, Barclays Capital, Inc., pursuant to Rule 512 (“Reporting Infractions”), was issued an $8,000 fine for its violations of Rule 576. Effective Date: June 2, 2023. 23-CH-2307. Pursuant to an offer of settlement in which Barclays Capital Inc. neither admitted nor denied the rule violations upon which the penalty is based, on March 16, 2023, the Clearing House Risk Committee