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Wednesday, November 4, 2026

Breaking News

Latest SEC filings as they come in

Nuveen AMT-Free Quality Municipal Income Fund Plans Share Redemption

Nuveen AMT-Free Quality Municipal Income Fund announces plans to redeem preferred shares starting December 3, 2026, affecting its capital structure.

Manifold Investment Co Fund LP Files New Offering Under Rule 506(b)

Manifold Investment Co Fund LP has filed a new offering under Rule 506(b), allowing it to raise capital through a pooled investment fund.

Morgan Stanley Finance LLC Files Pricing Supplement for New Securities

Morgan Stanley Finance LLC has filed a pricing supplement for new structured investments linked to Alphabet Inc.'s stock, expanding its offerings in the securities market.

Citigroup files pricing supplement for unsecured debt securities

Citigroup Inc. files a pricing supplement for unsecured debt securities, reflecting strategic funding moves in the National Commercial Banks sector.

Citigroup files pricing supplement for new medium-term notes

Citigroup Inc. files a pricing supplement for new medium-term senior notes, aiming to diversify funding sources and attract investors in a competitive market.

Locust Wood Capital Advisers reports $4.43 billion in holdings

Locust Wood Capital Advisers, LLC reports $4.43 billion in holdings as of September 30, 2026, reflecting its strategic investments in major companies.

JPMorgan Chase Financial Co. files pricing supplement for $1.266B

JPMorgan Chase Financial Co. LLC files a pricing supplement for structured investments totaling $1.266 billion, signaling ongoing innovation in the banking sector.

Morgan Stanley Finance LLC Files Pricing Supplement for New Securities

Morgan Stanley Finance LLC announces a new pricing supplement for enhanced buffered jump securities, reflecting innovation in the security brokers and dealers industry.

PG Austin Investors RC updates offering details in SEC filing

PG Austin Investors RC, LLC updates its offering details, aiming to raise $80.3 million for Class A Interests, with $32.65 million already secured.

GS Finance Corp. issues $154,000 in Russell 2000-linked notes

GS Finance Corp. files to issue $154,000 in notes linked to the Russell 2000 Futures Excess Return Index, reflecting its strategy in the securities industry.

Morgan Stanley Finance files pricing supplement for Trigger PLUS

Morgan Stanley Finance LLC has filed a pricing supplement for its Trigger PLUS product linked to the EURO STOXX 50 index, enhancing its structured investment offerings.

Morgan Stanley Finance LLC Files Pricing Supplement for Securities

Morgan Stanley Finance LLC has filed a pricing supplement for structured investments, reflecting trends in the security brokers and dealers industry.

GS Finance Corp. launches $503 million in leveraged notes

GS Finance Corp. files for $503 million in leveraged basket-linked notes due 2029, signaling a strategic move in the security brokers and dealers sector.

Royal Bank of Canada Launches $655,000 Auto-Callable Notes

Royal Bank of Canada files for $655,000 in Auto-Callable Contingent Coupon Barrier Notes linked to major stock indices, expanding its product offerings.

Morgan Stanley Finance files pricing supplement for securities

Morgan Stanley Finance LLC files a pricing supplement for structured investments, enhancing its offerings in the competitive securities market.

Ascentis Wealth Management reports $606M in holdings

Ascentis Wealth Management files a 13F-HR, revealing over $606 million in holdings as of September 30, 2026, impacting the investment management landscape.

JPMorgan Chase Financial Co. files for six note offerings

JPMorgan Chase Financial Co. LLC has filed a preliminary pricing supplement for six note offerings, indicating a strategic move in the banking sector.

Nuveen Quality Municipal Income Fund to Redeem Preferred Shares

Nuveen Quality Municipal Income Fund plans to redeem certain preferred shares, reflecting its capital management strategy and impacting the closed-end fund sector.

Jim Saulnier & Associates reveals $248.6 million in holdings

Jim Saulnier & Associates, LLC reports $248.6 million in holdings as of September 30, 2026, showcasing a diversified investment strategy in ETFs.

W.H. Cornerstone Investments reveals Q3 holdings report

W.H. Cornerstone Investments Inc. filed its Q3 holdings report, revealing a total asset value of $181.2 million as of September 30, 2026.

Financialist News Desk

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