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Tuesday, November 3, 2026

Regulation

Delisting, cyber, auditor, and compliance

FT 13450 Files Initial Registration Statement for Trust

FT 13450 has filed an initial registration statement for a unit investment trust, signaling a significant step in its fundraising efforts.

PGIM ETF Trust Registers New Active High Yield Bond ETF

PGIM ETF Trust expands its investment offerings with a new Active High Yield Bond ETF, reflecting industry trends in specialized exchange-traded funds.

Kinetics Portfolios Trust Files Amended Shareholder Report

Kinetics Portfolios Trust has filed an amended shareholder report, enhancing transparency in its financial disclosures for investors.

MacKenzie Realty Capital files offering circular for investors

MacKenzie Realty Capital, Inc. has filed an offering circular to attract new investments, signaling growth ambitions in the real estate investment trust sector.

Meta Platforms files automatic shelf registration statement

Meta Platforms, Inc. has filed an automatic shelf registration statement to streamline its capital-raising process, impacting the tech industry.

T. Rowe Price Tax-Free Income Fund releases semi-annual report

T. Rowe Price Tax-Free Income Fund, Inc. released its semi-annual shareholder report, highlighting financial performance and trends in municipal bond funds.

BioXgen Holdings files progress update on business activities

BioXgen Holdings, Inc. files a progress update, highlighting ongoing developments in its operations and commitment to transparency.

Moon Five Technologies files offering statement for funding

Moon Five Technologies has filed an offering statement, indicating a move to raise capital and adapt to the competitive tech landscape.

Polen Credit Opportunities Fund files amended deregistration

Polen Credit Opportunities Fund has filed an amended application for deregistration, indicating a strategic shift that may impact the investment management industry.

Genius Spark LLC files offering statement for fundraising

Genius Spark LLC has filed an offering statement, indicating a new fundraising effort that reflects industry trends in innovative financing solutions.

Daimler Trucks Retail Trust 2023-1 Suspends Reporting Duties

Daimler Trucks Retail Trust 2023-1 has filed to suspend its reporting obligations, indicating a strategic shift in the asset-backed securities market.

NBS Government Finance Group Files Amended Registration Application

NBS Government Finance Group submits an amended application for municipal advisor registration, highlighting its commitment to compliance in the finance sector.

Columbia Funds Series Trust II files post-effective amendment

Columbia Funds Series Trust II has filed a post-effective amendment to its registration statement, adding new exhibits that may affect stakeholders.

GigCapital9 Corp. Files New Prospectus Update

GigCapital9 Corp. has filed a new prospectus, signaling ongoing strategic initiatives in the blank check industry.

PGIM ETF Trust removes Active High Yield Bond ETF from listing

PGIM ETF Trust files Form 25 to delist its Active High Yield Bond ETF, indicating a strategic shift in its investment offerings.

FT 13258 files pre-effective amendment for new offering

FT 13258 has submitted a pre-effective amendment, signaling a new offering and increased activity in the investment management sector.

Victory Portfolios II registers securities with SEC

Victory Portfolios II has registered its securities with the SEC, enhancing its visibility and credibility in the investment sector.

Motiva Infraestrutura Registers American Depositary Receipts

Motiva Infraestrutura de Mobilidade S.A. has registered American Depositary Receipts to enhance its international investment appeal.

AFL CIO Housing Investment Trust Files Sales Literature Update

AFL CIO Housing Investment Trust files an update on sales literature, enhancing communication with investors and reflecting industry trends.

Alternative Strategies Income Fund Files Post-Effective Amendment

Alternative Strategies Income Fund files a post-effective amendment to update its registration statement, signaling strategic changes in its investment approach.

Financialist News Desk

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