Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 307

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 307
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 with Morgan Stanley Smith Barney LLC; and UBS Securities LLC together with UBS Financial Services Inc. have each agreed to pay penalties of $125 million. CME Case RSRH-22-6644 / NYME RSRH-22-6644: During the month of June 2022, Goldman Sachs & Co. LLC, inaccurately reported its large trader positions and submitted position adjustments after the prescribed deadline in several instances of CME and NYMEX contracts, in violation of Rule 561. On July 15, 2022, pursuant to Rule 512, a fine in the amount of $7,000 was collectively assessed against Goldman Sachs & Co. LLC for its violations of Rule 561 as follows: CME - $3,500, NYMEX - $3,500. Effective Date: August 4 th , 2022. CBOT Case # RSRH-22-6554 / CME Case # RSRH-22-6554 / NYME Case # 22-6554, May 2, 2022. During the month of March 2022, Goldman Sachs & Co. LLC, inaccurately reported its large trader positions and submitted position adjustments after the prescribed deadline in several instances of CME, CBT, & NYMEX contacts, in violation of Rule 561. On April 11, 2022, pursuant to Rule 512, Goldman Sachs & Co. LLC was collectively assessed a $5,000 fine for its violations of Rule 561, as follows: CME - $3,000, CBT - $1,000, and NYMEX - $1,000. CBOT Case #22-CH-2203, June 10, 2022. Pursuant to an offer of settlement in which Goldman Sachs & Co. LLC neither admitted nor denied the rule violation upon which the penalty is based, on June 9, 2022, the Clearing House Risk Committee found that Goldman Sachs & Co. LLC violated CBOT Rule 930.E.3. In accordance with the settlement offer, the Committee imposed a $75,000 fine. On March 31, 2022, NFA’s Business Conduct Committee (BCC) issued a Complaint against Goldman Sachs & Co., LLC (Goldman). Count I of the Complaint charged the firm with violating NFA Compliance Rule 2-49(a) by failing to comply with requirements under CFTC Regulations 23.153, 23