Company: EUO
Filing Date: 2025-02-13
Form Type: S-3
Source: 0001193125-25-026201
Chunk: 189

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-3
Chunk 189
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 and attempted to dissuade them from inquiring into RBC’s involvement with the Wash EFPs, even from a supervisory perspective. These actions were taken despite the inter-relationship between RBCCM and RBC, as well as the prior consent order, which required cooperation of RBC in any investigation by the Division of Enforcement related to the subject matter of this action. As a result, the order finds that the CFTC expended considerable resources trying to obtain information and timely compliance with its subpoenas from RBC and RBCCM. Please see RBC’s Form BD, which is available on the FINRA BrokerCheck program, for more details. CME Case #20-CH-2008. Pursuant to an offer of settlement in which RBC Capital Markets LLC neither admitted nor denied the rule violations upon which the penalty is based, on August 20, 2020, the Clearing House Risk Committee found that RBC Capital Markets LLC violated CME Rule 971.A.1. In accordance with the settlement offer, the Committee imposed a $50,000 fine, effective August 21, 2020. CME Case #18-CH-1804. Pursuant to an offer of settlement in which RBC Capital Markets LLC neither admitted nor denied the rule violation upon which the penalty is based, on June 28, 2018, the Clearing House Risk Committee found that RBC Capital Markets LLC violated CME Rule 971.A.1. In accordance with the settlement offer, the Clearing House Risk Committee imposed a $50,000 fine, effective June 29, 2018. CFTC Case #: 19-47: The U.S. Commodity Futures Trading Commission today announced the agency issued an order on Monday, September 30, 2019, filing and setting charges against RBC Capital Markets, LLC. On September 30. 2019, , RBC Capital Markets LLC was issued a $5,000,000 fine for its violation for failure to meet supervisory obligations, which resulted in hundreds of unlawful trades and violations over the period of 2011 to May 2017.

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NYME Case #: 20-1311-BC. Pursuant to an offer of settlement in which RBC Capital Markets, LLC (“RBC”) neither admitted nor denied the rule violations upon which the penalty is based, on July 22, 2021, a Panel of the NYMEX Business Conduct Committee (“BCC Panel”) found