Company: EUO
Filing Date: 2025-03-27
Form Type: 424B3
Source: 0001193125-25-065644
Chunk: 203

Company: ProShares Trust II
Filing Date: 2025-03-27
Form: 424B3
Chunk 203
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’s accurate audit trail data. On multiple occasions continuing through May 2018, ADMIS provided the Exchange with inaccurate audit trail data that was provided by the client. The Panel found that ADMIS thereby

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violated Exchange Rule 536.B.2. Finally, the Panel found that ADMIS failed to take effective measures to intervene, correct, and ensure the accuracy of: (1) its client’s purchase and sales data reporting, beginning on March 12, 2012, and continuing through May 2018; and (2) ADMIS’s own responses to the Exchange’s investigative requests beginning in January 2018 and continuing through May 2018. In addition, ADMIS failed to properly supervise employees regarding escalation procedures when an ADMIS client was discovered to have violated Exchange rules. The Panel therefore found that ADMIS violated Exchange Rule 432.W. In accordance with the settlement offer, the Panel ordered ADMIS to pay a fine of $650,000. Effective Date: January 30, 2020. ICE Case #: 2019-036. ADM Investor Services, Inc. was issued a summary fine in the amount of $10,000 for violating Rule 2.22 by reporting inaccurate open interest for the October 2019 Sugar No. 11 futures contract for ten consecutive trade dates from September 16, 2019 through September 27, 2019. Effective Date: October 30, 2019. CFTC Case #: 19-11. CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees. The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against ADM Investor Services Inc. (ADMIS), a registered futures commission merchant located in Chicago, Illinois. The Order requires ADMIS to pay a civil monetary penalty of $250,000 and cease and desist from any further violations of the Commodity Exchange Act or CFTC Regulations. The Order finds that from at least December 1, 2014, to September 24, 2017, ADMIS failed to supervise the handling of commodity interest accounts carried by ADMIS and introduced by an ADMIS-guaranteed introducing broker (GIB). In particular, the Order finds that ADMIS had a supervisory system in place as evidenced by its compliance manual; nevertheless, ADMIS failed to adequately supervise its employees and agents to ensure they: (1) executed bunched