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Saturday, November 7, 2026

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Latest SEC filings as they come in

BofA Finance LLC Files Pricing Supplement for Medium-Term Notes

BofA Finance LLC has filed a preliminary pricing supplement for medium-term notes linked to major stock indices, reflecting strategic moves in the banking sector.

Quantinno Deals Excelsior Custom Series Launches New Offering

Quantinno Deals Excelsior Custom Series, L.P. files new offering under Rule 506(b), raising approximately $16.5 million in private investment.

Oaktree Special Situations IV Amends Private Equity Fund Offering

Oaktree Special Situations IV iCapital Offshore Access Fund amends its private equity offering, aiming to attract more investments in a competitive market.

Elpis Opportunity Fund amends previous offering details

Elpis Opportunity Fund, LP has amended its offering, indicating ongoing fundraising efforts and detailing its management fee structure.

Yovovich reports acquisition of phantom stock shares

Paul G. Yovovich acquires additional phantom stock shares under GATX Corporation's plans, signaling continued investment in the company.

JPMorgan Chase Financial Co. files pricing supplement for notes

JPMorgan Chase Financial Co. LLC files a preliminary pricing supplement for new structured investment notes, signaling innovation in financial products.

Providence IX Helios Co-Investment L.P. files new offering

Providence IX Helios Co-Investment L.P. has filed a new offering under Rule 506(b), marking its entry into the private equity fund market.

JPMorgan Chase Financial Co. announces new structured notes

JPMorgan Chase Financial Co. LLC has filed a preliminary pricing supplement for structured notes linked to the S&P 500 Futures Index, indicating a strategic move in the national commercial banks sector.

Morgan Stanley Finance LLC Files Preliminary Pricing Supplement

Morgan Stanley Finance LLC announces a new structured investment product, highlighting its commitment to innovative financial solutions in the securities sector.

Figure HELOC Master Depositor Trust Files ABS-15G Report

Figure HELOC Master Depositor Trust reports findings from due diligence on its mortgage-backed securities, enhancing transparency in the asset-backed securities market.

Morgan Stanley Finance LLC Files Pricing Supplement for New Securities

Morgan Stanley Finance LLC has filed a pricing supplement for callable contingent income buffered securities, indicating a strategic move in structured investments.

Morgan Stanley Finance LLC Files Pricing Supplement for Securities

Morgan Stanley Finance LLC has filed a pricing supplement for Enhanced Trigger Jump Securities linked to NVIDIA stock, highlighting its focus on structured investments.

Alchemi Wealth reports $222.6 million in latest 13F-HR filing

Alchemi Wealth, LLC discloses $222.6 million in assets under management in its latest 13F-HR filing, reflecting its investment strategies and market position.

Morgan Stanley Finance files pricing supplement for new securities

Morgan Stanley Finance LLC files a pricing supplement for contingent income auto-callable securities due in 2031, expanding its investment offerings.

Morgan Stanley Finance LLC Announces New Structured Investment

Morgan Stanley Finance LLC files a preliminary pricing supplement for new callable contingent income securities, signaling innovation in structured investments.

Sousa Mauad Bruno Reports Significant Financial Transactions

Sousa Mauad Bruno details key transactions involving Brazilian Depositary Receipts and a cash-settled total return swap, impacting Aura Minerals Inc.

Nucor Corp President Laxton Reports Stock Transactions

Stephen D. Laxton, President and COO of Nucor Corp, disclosed multiple stock transactions, reflecting ongoing executive activity and confidence in the company.

Partners Group Finance acquires over 9.5 million shares

Partners Group Finance (USD) AG has acquired over 9.5 million shares in Partners Group Growth, LLC, signaling confidence in its affiliate's future.

Lime Rock Partners X, L.P. Files New Offering Under SEC

Lime Rock Partners X, L.P. has filed a new offering under SEC regulations, marking a significant move in the private equity sector.

Shoker Investment Counsel reveals $386.9M in holdings

Shoker Investment Counsel, Inc. reports $386.9 million in holdings, showcasing significant investments in major corporations like Apple and Amazon.

Financialist News Desk

Our desk turns official SEC filings into news. Each story is checked against the original filing. About us → · Editorial standards →