Company: EUO
Filing Date: 2025-02-13
Form Type: S-1
Source: 0001193125-25-026199
Chunk: 255

Company: ProShares Trust II
Filing Date: 2025-02-13
Form: S-1
Chunk 255
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 may have violated Exchange Rule 4.15(b) in multiple instances by failing to assign a particular customer with its own unique identifications and instead allowing employees to improperly use and share Marex-affiliated identifications with such customer for certain block trades reported to the Exchange. The BCC also determined that, during the Relevant Period, MCM may have violated Exchange Rule 4.07(c) in multiple instances by submitting block trades with incorrect market participant identifications. Lastly, the BCC determined that, during the Relevant Period, MCM may have violated Exchange Rule 4.01(a) by failing to diligently supervise the block trade activities of its employees and Exchange Rule 4.01(b) by failing to establish, administer, and enforce supervisory systems, policies and procedures, which are reasonably designed to achieve compliance with Exchange Rules. ICE Case #: 2023-021. On February 23, 2024, Marex Capital Markets, Inc. was issued a summary fine in the amount of $5,000 for violating Rules 4.19(c)(ii)(2) and 4.19(e) by failing to maintain the required order message data. CME Case #: 23-CH-2309. Pursuant to an offer of settlement in which Marex Capital Markets Inc. neither admitted nor denied the rule violations upon which the penalty is based, on March 16, 2023, the Clearing House Risk Committee found that Marex Capital Markets Inc. violated Customer Gross Margining Technical Overview Requirements and CME Rule 980.G. In accordance with the settlement offer, the Committee imposed a $50,000.00 fine. Effective Date: March 16, 2023. CME Case #: DQA-22-0866: During the period of October 1 through November 30, 2021, E D & F Man Capital Markets Inc. violated Rule 576 by failing to maintain current and accurate information in the Exchange Fee System. On July 15, 2022, E D & F Man Capital Markets Inc., pursuant to Rule 512 (“Reporting Infractions”), was collectively issued a $6,000 fine for its violations of Rule 576 as follows: CME - $4,000, CBOT - $1,000, and NYMEX - $1,000 (see cases CBOT DQA-22-0866 and NYMEX DQA-22-0866). Effective Date: August 3, 2022. CFTC