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Tuesday, November 3, 2026

Regulation

Delisting, cyber, auditor, and compliance

Gabelli Money Market Funds Reports Strong Liquidity Position
Latest

Gabelli Money Market Funds Reports Strong Liquidity Position

Gabelli Money Market Funds reveals strong liquidity and stable net asset values in its latest filing, emphasizing its resilience in the investment landscape.

Coca-Cola Europacific Partners Reports Strong Q3 2026 Results

Coca-Cola Europacific Partners Reports Strong Q3 Results

ING Groep NV reports progress on €1.65 billion buyback

In Focus

Kurtz George Sells 200 Shares of CrowdStrike Holdings Stock

Kurtz George Reports Multiple Stock Transactions at CrowdStrike

XCF Global cancels Special Meeting, withdraws reverse split plan

Across the Market

BTCO Securities Files Amended Report on Financial Status

Lunai Bioworks Inc. Delists Common Stock from Nasdaq

Arca U.S. Treasury Fund Announces Monthly Repurchase Offer

Latest Filings

1

JCC Capital Markets files latest financial report

2

Quint Capital Corporation Reports Financial Update

3

Macquarie Infrastructure Fund sells $950,000 in partnership units

4

New York Stock Exchange to Delist National Rural Utilities Bonds

5

Vanguard Chester Funds Files Compliance Report with SEC

More Regulation News

Vanguard Trustees' Equity Fund Confirms Compliance with SEC Rules

Vanguard Trustees' Equity Fund files compliance report under SEC rules, affirming adherence to regulations crucial for investor trust and industry standards.

Vanguard Variable Insurance Funds Confirms Compliance in SEC Filing

Vanguard Variable Insurance Funds files SEC report confirming compliance with investment regulations, highlighting industry standards.

Vanguard Star Funds confirms compliance with SEC regulations

Vanguard Star Funds files SEC document confirming compliance with Investment Company Act, reinforcing transparency in the investment management industry.

Strategy Inc Reveals Key Updates in Recent SEC Filing

Strategy Inc's latest SEC filing outlines significant developments that could reshape its strategy and influence the finance services sector.

UR-Energy CFO Roger L. Smith to Retire; Jade Walle Appointed

UR-Energy Inc. announces CFO Roger L. Smith's retirement, effective December 1, 2026, with Jade Walle stepping in as the new CFO.

AITX Launches #OpenToWork Campaign for AI Security Professional

Artificial Intelligence Technology Solutions Inc. unveils a campaign to promote its AI security professional, SARA, aiming to expand its market reach in the security industry.

OS Therapies grants stock options to board member Jarry Olivier

OS Therapies Inc has granted stock options to board member Jarry Olivier Roger, reflecting its strategy to incentivize leadership in the competitive pharmaceutical industry.

OS Therapies CEO Romness Receives Major Stock Option Grant

OS Therapies Inc CEO Paul A. Romness has been granted stock options for 900,000 shares, reflecting the company's commitment to incentivizing leadership.

OS Therapies grants stock options to director Avril McKean-Dieser

Avril McKean-Dieser receives stock options from OS Therapies, highlighting executive compensation strategies in the pharmaceutical sector.

Ciccio John Reports Stock Options and Holdings in OS Therapies

Ciccio John discloses stock options and shareholdings in OS Therapies Inc, reflecting his commitment to the company and the pharmaceutical sector.

Theodore F. Search Reports Stock Transactions for OS Therapies

Theodore F. Search has reported stock transactions involving OS Therapies Inc., signaling potential shifts in corporate governance.

Visium Technologies CEO Paul R. Taylor Resigns Amid Dispute

Visium Technologies faces leadership turmoil as CEO Paul R. Taylor resigns over financial disagreements, prompting a review of corporate governance.

Annovis Bio faces NYSE delisting notice over compliance issues

Annovis Bio, Inc. received a delisting notice from the NYSE due to non-compliance with listing standards, prompting a need for a compliance plan.

Banco Santander (Brasil) Elects New Committee Members

Banco Santander (Brasil) S.A. announces new appointments to its Risk and Compliance and Nomination and Governance Committees, enhancing governance.

Alset Inc. Faces Nasdaq Delisting Due to Low Stock Price

Alset Inc. may face delisting from Nasdaq after failing to meet the minimum bid price requirement. The company has until April 2027 to regain compliance.

Accendra Health Notifies NYSE of Delisting Risk Due to Noncompliance

Accendra Health Inc. faces potential delisting from the NYSE after failing to meet minimum market capitalization and equity requirements, plans to submit a compliance plan.

SVRN Faces Nasdaq Delisting; Plans Hearing Request

SVRN, Inc. received a Nasdaq delisting notice for not filing its 2025 Annual Report. The company will request a hearing and an extended stay.

Citizens Financial Group Changes Independent Auditor to PwC

Citizens Financial Group transitions its independent auditor from Deloitte to PwC, reflecting a strategic shift in financial oversight.

Bridger Aerospace Group Faces Nasdaq Delisting Risk

Bridger Aerospace Group Holdings risks delisting from Nasdaq after failing to meet minimum bid price requirements. The company has until April 2027 to comply.

Parabolic Technologies Faces Nasdaq Delisting Over Bid Price

Parabolic Technologies is at risk of delisting from Nasdaq due to non-compliance with bid price rules, prompting plans for an appeal.

Janus Aspen Series Files New Fidelity Bond for Risk Management

Janus Aspen Series enhances risk management with a new fidelity bond, reflecting industry trends in investment security and risk mitigation.

Janus Investment Fund Secures New Fidelity Bond Coverage

Janus Investment Fund has filed a new fidelity bond, enhancing its risk management strategy and boosting investor confidence in the investment industry.

CTT Pharmaceutical Holdings appoints new PCAOB auditor

CTT Pharmaceutical Holdings has appointed Zhanna Kelley, CPA, as its new PCAOB Auditor, following the resignation of Holt & Patterson.

Masonglory Ltd Amends Registration for $200 Million Securities Offering

Masonglory Ltd has filed an amendment to offer up to $200 million in securities, indicating growth potential in the construction industry.

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Financialist News Desk

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