Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 223

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 223
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 for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined penalties of more than $1.1 billion, and have begun implementing improvements to their 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. CBOE Case #: CFE 19-0007. Deutsche Bank Securities Inc. failed to properly report open interest to the Options Clearing Corporation, resulting in overstatements of the February 2019 VX06 open interest for four days proximate to the contract’s final settlement date. This failure was due to a systems issue. Deutsche Bank Securities Inc. was fined $22,500. Effective Date: January 16, 2020. CFTC Case #: 18-09. The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Deutsche Bank Securities Inc. (DBSI) for attempted manipulation of the ISDAFIX benchmark and requiring DBSI to pay a $70 million civil monetary penalty. Effective Date: February 1, 2018. CFTC Case #: 18-06. CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing In the Precious Metals Futures Markets. he Order finds that from at least February 2008 and continuing through at least September 2014, DB AG, by and through certain precious metals traders (Traders), engaged in a scheme to manipulate the price of precious metals futures contracts by utilizing a variety of manual spoofing techniques with respect to precious metals futures contracts traded on the Commodity Exchange, Inc. (COMEX), and by trading in a manner to trigger customer stop-loss orders. Effective Date: January 29, 2018. Marex Capital Markets Inc. (Formerly known as ED&F Man Capital Markets, Inc.) (“Marex Capital”) Effective November 30, 2022, E D & F Man Capital Markets Inc. became an indirect, wholly-owned subsidiary of Marex Group plc and subsequently changed