Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065647
Chunk: 371

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 371
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 implementing improvements to their

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compliance policies and procedures to settle these matters. Barclays Capital Inc., Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc.; Goldman Sachs & Co. LLC; Morgan Stanley & Co. LLC together 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. On January 25, 2022, UBS Securities LLC (“UBS”) executed a block trade (Cboe Volatility Index (VX) Futures – March 2022) with the following issues: The order ticket did not include all required information; the block trade was not reported to the Exchange timely; UBS did not provide all required information to the Authorized Reporter; and UBS failed to obtain previous consent from its customer to execute the transaction as a block trade. This event did not result in any customer harm. UBS was imposed a fine of $16,000. Goldman Sachs International (“GSI”) Goldman Sachs International is a subsidiary of The Goldman Sachs Group, Inc. (“Group, Inc.”). From time to time, Group, Inc. (and its subsidiaries, including Goldman Sachs International), its officers and employees are involved in proceedings and receive inquiries, subpoenas and notices of investigation relating to various aspects of its business some of which result in sanction. Details are set out in Goldman Sachs International’s entry on the FCA/PRA Financial Services Register (https://register.fca.org.uk/ShPo_HomePage), Goldman Sachs International’s financial statements and Group Inc.’s various regulatory filings under applicable laws and regulations, Forms 10-K and 10-Q and periodic filings pursuant to the U.S. Securities Exchange Act of 1934 (http://www.goldmansachs.com/investor-relations/financials/). Goldman Sachs International is registered in the US with National Futures Association (NFA) as a provisionally registered Swap Dealer. The disclosures below are extracts from Group Inc’s financial statements dating back five years available on the GS website: The firm is involved in a number of judicial, regulatory and arbitration proceedings (including those described below) concerning matters arising in connection with the conduct of the firm’s businesses. Many of these proceedings are in early stages, and many of these cases seek an indeterminate amount of damages. Currencies-Related Litigation GS&Co. and Group Inc. are among the defendants named in an action filed in the U.S. District