Company: EUO
Filing Date: 2025-03-18
Form Type: S-3/A
Source: 0001193125-25-056733
Chunk: 190

Company: ProShares Trust II
Filing Date: 2025-03-18
Form: S-3/A
Chunk 190
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 to be included in the proxy statement that Rural filed to solicit shareholder approval for the sale in violation of section 14(A) of the Exchange Act and Rule 14A-9 thereunder. On August 31, 2016, RBC Capital was ordered by the SEC to cease and desist and paid $500,000 in disgorgement, plus interest of $77,759 and a civil penalty of $2 million. Please see RBC’s Form BD, which is available on the FINRA BrokerCheck program, for more details. Included by the Sponsor from the NFA Website and not provided by RBC CME Case #: 23-CH-2313. Pursuant to an offer of settlement in which RBC Capital Markets, LLC (“RBCCM”) consented to entry of findings by the Clearing House Risk Committee (“CHRC”) but neither admitted nor denied the findings or the rule violations upon which the penalty is based, on January 18, 2024, the CHRC found that RBCCM: (1) contractually agreed for margin calls to be met in a timeframe that was longer than one business day; and (2) contractually agreed to a period of time during which the firm’s full discretion to determine when and under what circumstances positions could be liquidated was restricted. The CHRC thereby concluded that RBCCM violated CME Rules 930.E.1. and 930.K.1. The CHRC also found that RBCCM has since amended the relevant customer agreement language. In accordance with the settlement offer, the CHRC imposed a $25,000 fine. Effective Date: January 19, 2024. CME Case #: 23-CH-2322. Pursuant to an offer of settlement in which RBC Capital Markets, LLC neither admitted nor denied the rule violation upon which the penalty is based, on October 12, 2023, the Clearing House Risk Committee found that RBC Capital Markets, LLC violated CME Rule 980.A. In accordance with the settlement offer, the Committee imposed a $50,000 fine. Effective Date: October 12, 2023. CME Case #: DQA-23-1179. Pursuant to the results of a back office CTR exam for trade dates January 3, 2023 through March 24, 2023, RBC Capital Markets LLC Data Entry Errors exceeded the 10% threshold level mandated by Rule 536.F. Pursuant to the Rule