Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 242

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 242
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02(c) when an employee placed opposing buy and sell orders in a Cocoa Futures spread market for the same Principal in a way where he knew or should have known that the orders would trade opposite one another resulting in a wash trade. A fine of $20,000 was issued to StoneX Financial. CBOT Case #: DQA-24-1502 . During the month of April 2024, StoneX Financial, Inc. submitted large trader position adjustments after the prescribed deadline in several instances in violation of Rule 561, and inaccurately reported long positions eligible for delivery in the May 2024 Soybean Oil futures contract and May 2024 Wheat futures contract in violation of Rule 807. On May 16, 2024, Stonex Financial Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $10,000 fine for its violations of Rules 561 and 807 (see companion case NYMEX DQA-24-1502), as follows: CBOT - $8,000, and NYMEX - $2,000. Effective Date: June 4, 2024. ICE Case #: 2022-027. On October 18, 2023, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that StoneX Financial Inc. (“StoneX”) may have violated Exchange Rules 4.15(a), 4.15(b), and 4.15(c) by failing to include a unique ID for Registered Operators on certain orders and trades it transmitted to the Exchange. For a period of over four years, from February 2018 through the beginning of August 2022, StoneX, acting as a Futures Commission Merchant, failed to assign, register, and populate unique IDs (Tag 116) for an extensive number of orders placed and traded on the Exchange. Specifically, certain customers using a third-party front-end trading software were inappropriately assigned the same generic ID for Tag 116 on orders and trades placed on the Exchange. The BCC further determined that StoneX may have additionally violated Rule 4.01(a) by failing to diligently supervise the accurate registration of unique IDs for customers; and 4.01(b) by failing to establish, administer, and enforce supervisory systems, policies, and procedures that are reasonably designed to achieve compliance with Exchange Rules. StoneX was issued a fine of $300,000. Effective Date: December 14, 2023. CEI Case #: RSRH