Company: EUO
Filing Date: 2025-03-28
Form Type: 424B3
Source: 0001193125-25-065648
Chunk: 244

Company: ProShares Trust II
Filing Date: 2025-03-28
Form: 424B3
Chunk 244
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 the Committee imposed a $50,000 fine. Effective Date: January 20 th , 2023. ICE Case #: 2020-022. On July 20, 2022, a subcommittee of the Exchange’s Business Conduct Committee (“BCC”) determined that StoneX Financial Inc. (“SX Financial”) and StoneX Markets LLC (“SX Markets”) may have violated Exchange Rule 4.04 in multiple instances between May 2020 and May 2021 by engaging in improper pre-hedging. In addition, the BCC found that SX Financial and SX Markets may have separately violated Exchange Rule 4.04 by adopting a risk policy that may have motivated their employees to engage in the improper pre-hedging activity noted above for certain contracts.Lastly, the BCC found that SX Markets may have violated Exchange Rule 4.07(c) by

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misreporting the execution time of certain block trades and submitting them beyond the 15-minute reporting window, and that SX Financial and SX Markets may have violated Exchange Rule 21.04 by failing to timely produce documents, books, or records requested by Compliance staff during the investigation of this matter. Disgorgement (jointly & severally) $225,606. The ICE imposed a fine, jointly and severally of $425,000. Effective date: July 20, 2022. CBOT/NYME Case #: DQA-21-0732. During the period of April 1, 2021 through June 30, 2021, StoneX Financial Inc. violated Rule 536.C by failing to meet the documentation requirements for orders entered using Execution Operation Suspense Accounts and Bunched RFC Order Suspense Accounts and failing to properly use Bunched RFC Order Suspense Accounts. On January 26, 2022, StoneX Financial Inc. pursuant to Rule 512 (“Reporting Infractions”) was collectively issued a $5,000 fine for its violations of Rule 536.C. as follows: NYMEX - $2,500, CBOT - $2,500. Effective Date: February 14, 2022. MGE Case #: 20-I-28. The MGEX Disciplinary Committee charged StoneX Financial Inc. with reporting an offset of December 2020 Spring Wheat futures contracts during the prohibition period without the benefit of trade activity in violation of MGEX Rule 3.1.8. Without admitting or denying the charges, StoneX Financial Inc. submitted an offer of