Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 282

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 282
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, Jr., Lenel Hickson, Jr, and Manal M. Sultan. CME Case #: DQA-24-1391. During the period of October 1, 2023, through December 31, 2023, UBS Securities LLC violated Rule 576 by failing to maintain current and accurate registrations in the Exchange Fee System. Additionally, UBS failed to ensure that Operator IDs at the firm were unique. On May 16, 2024, UBS Securities LLC, pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $10,000 fine for its violations of Rule 576 (see companion cases CBOT DQA-24-1391, NYMEX DQA 24-1391, and COMEX DQA 24-1391) as follows: CME - $2,500, CBOT - $2,500, COMEX - $2,500, and NYMEX - $2,500. Effective Date: June 4, 2024. CBOE Case #: URE-288-09. On January 26, 2023, UBS personnel entered an order in the February 2023 / March 2023 Cboe Volatility Index (VX) futures calendar spread in UBS’s automated trading system for purposes of testing market data connectivity and without the intent to execute bona fide transactions. The order caused the automated trading system to submit two child orders to the Exchange. UBS was issued a fine of $10,000. CBOT Case #: 23-CH-2326. Pursuant to an offer of settlement in which UBS Securities LLC neither admitted nor denied the rule violations upon which the penalty is based, on November 9, 2023, the Clearing House Risk Committee found that UBS Securities LLC violated CBOT Rules 930.J.1., 971.A., and 980.A. In accordance with the settlement offer, the Committee imposed a $100,000 fine. Effective Date: November 10, 2023. CBOT Case #: 23-CH-2323. Pursuant to an offer of settlement in which UBS Securities LLC neither admitted nor denied the rule violations upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that UBS Securities LLC violated CBOT Rules 930.E.1, 930.E.2., 930.F., and 971.A. In accordance with