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Tuesday, November 3, 2026

Capital

Debt, credit, buybacks, and stock sales

Riverview Bancorp Director Files to Sell 70,000 Shares

Gerald Lee Nies, director at Riverview Bancorp, files to sell 70,000 shares of common stock, reflecting long-term investment strategies.

Pope Daniel M Files to Sell 680 Shares of Tyler Technologies

Pope Daniel M has filed to sell 680 shares of Tyler Technologies, reflecting ongoing compensation practices in the prepackaged software industry.

T-Mobile US officer Daniel Drobac files to sell shares

Daniel Drobac of T-Mobile US, Inc. files to sell 113 shares of common stock following restricted stock vesting, valued at $17,422.34.

GS Finance Corp. Files Preliminary Pricing for New Notes

GS Finance Corp. has filed a preliminary pricing supplement for underlier-linked notes due 2029, guaranteed by The Goldman Sachs Group, Inc.

UBS Commercial Mortgage Trust 2017-C1 Reports Distribution Results

UBS Commercial Mortgage Trust 2017-C1 announces its latest distribution report, reflecting stable performance and low delinquency rates in its asset-backed securities.

Validus Direct Opportunities Fund II files new offering

Validus Direct Opportunities Fund II, LLC has filed a new offering under Rule 506(b), marking a significant fundraising effort for the pooled investment fund.

Bank of Nova Scotia Files Pricing Supplement for Securities

Bank of Nova Scotia announces $2.9 million in Enhanced Trigger Jump Securities linked to Nu Holdings Ltd. as part of its structured investment strategy.

CCUBS Commercial Mortgage Trust Reports October Distribution

CCUBS Commercial Mortgage Trust 2017-C1 announces its distribution report for the period ending October 19, 2026, highlighting performance metrics.

Canadian Imperial Bank of Commerce Offers New Debt Securities

CIBC files to offer 2.23 million units of new debt securities linked to the Russell 2000 Index, enhancing its capital position in the commercial banking sector.

Jefferies Financial Group announces issuance of callable notes

Jefferies Financial Group Inc. files for a new issuance of 20-year callable notes, aiming to strengthen its capital structure and support corporate needs.

GS Finance Corp. Files Pricing Supplement for New Notes

GS Finance Corp. has filed a preliminary pricing supplement for new index-linked notes, expected to be issued on December 1, 2026.

AB Active ETFs, Inc. registers shares for Nasdaq listing

AB Active ETFs, Inc. has registered its AB Equity Premium Income ETF shares for listing on the Nasdaq, marking a significant step in its investment strategy.

Toronto-Dominion Bank files preliminary pricing for new GEARS

Toronto-Dominion Bank has filed a preliminary pricing supplement for Capped Buffer GEARS securities linked to the S&P 500 Index, indicating strategic investment offerings.

Bank of Nova Scotia Files Preliminary Pricing for Notes

Bank of Nova Scotia has filed a preliminary pricing supplement for its Step Down Trigger Autocallable Notes linked to Intel Corporation, indicating strategic financial moves.

Onex Partners VI B LP files for new private equity offering

Onex Partners VI B LP has filed for a new private equity offering, indicating a strategic move to attract investment in the pooled investment fund sector.

GS Finance Corp. launches $600,000 callable notes offering

GS Finance Corp. has filed to offer $600,000 in callable contingent coupon index-linked notes, backed by Goldman Sachs Group.

GS Finance Corp. Files Preliminary Pricing Supplement for Notes

GS Finance Corp. has filed a preliminary pricing supplement for new notes, reflecting a strategic move in the financial market.

GS Finance Corp. files $1.073 billion in callable notes

GS Finance Corp. announces a $1.073 billion offering of leveraged callable notes linked to the Nasdaq-100 Index, backed by Goldman Sachs.

GS Finance Corp. Files Preliminary Pricing Supplement for Notes

GS Finance Corp. has filed a preliminary pricing supplement for autocallable contingent coupon index-linked notes, reflecting strategic innovation in securities.

Morgan Stanley files free writing prospectus for new security

Morgan Stanley has filed a free writing prospectus for a new contingent income security, showcasing innovation in the financial services sector.

Financialist News Desk

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