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Monday, November 2, 2026

Companies

Public company updates

Eaton Vance Series Trust II files summary prospectus for fund

Eaton Vance Series Trust II files a summary prospectus for the Parametric Tax-Managed Emerging Markets Fund, effective November 1, 2026.

Protum Capital LLC raises $825,000 in private offering

Protum Capital LLC successfully raises $825,000 through a private offering, marking a significant step in its growth strategy.

Invesco Real Estate Asia Fund V announces new private offering

Invesco Real Estate Asia Fund V files for a new private offering, targeting accredited investors with a minimum investment of $25,000.

Mirabaud & Cie SA reveals Q3 investment holdings

Mirabaud & Cie SA reports Q3 holdings valued at over $258 million, reflecting its investment strategies in a dynamic market.

JPMorgan Trust I files new registration statement for funds

JPMorgan Trust I has filed a new registration statement, indicating potential expansion in its investment products and reflecting industry trends.

Delta Financial Advisors reveals $425 million in holdings

Delta Financial Advisors LLC files 13F-HR report showing $425 million in investments, highlighting key positions in major corporations.

UBS AG files preliminary pricing for new contingent yield notes

UBS AG has filed a pricing supplement for Trigger Callable Contingent Yield Notes linked to major indices, reflecting its strategy to attract yield-seeking investors.

Morgan Stanley Finance LLC Files Pricing Supplement for Securities

Morgan Stanley Finance LLC files a pricing supplement for structured investments, signaling a strategic product offering to attract investors.

Bank of Montreal announces new senior medium-term notes

Bank of Montreal files pricing supplement for new senior medium-term notes linked to the S&P 500, enhancing its offerings in the commercial banking sector.

Morgan Stanley Finance files preliminary pricing supplement

Morgan Stanley Finance LLC files a preliminary pricing supplement for structured investments, reflecting its focus on innovative financial products.

Bank of Montreal unveils new senior medium-term notes

Bank of Montreal announces a new offering of senior medium-term notes linked to major stock indices, aiming to attract investors seeking high returns.

Helus Pharma Announces Leadership Transition and New Chair

Helus Pharma transitions leadership as co-founders step down from executive roles. Mark Lawson appointed as new independent Chair of the Board.

Federal Home Loan Bank of Chicago Creates New Financial Obligations

Federal Home Loan Bank of Chicago reports new financial obligations through consolidated obligations, emphasizing its funding strategy in the credit agency sector.

NEOS ETF Trust files post-effective amendment for extension

NEOS ETF Trust has filed a post-effective amendment to extend its registration statement until November 30, 2026, signaling ongoing commitment to investors.

BofA Finance LLC Files Pricing Supplement for Enhanced Notes

BofA Finance LLC files a pricing supplement for Enhanced Return Notes linked to the S&P 500 Futures Index, guaranteed by Bank of America Corporation.

San Solomon Energy Partners, LP Announces New Offering

San Solomon Energy Partners, LP files for a new offering under Rule 506(b), raising $2.08 million from investors in the oil and gas sector.

Morgan Stanley Finance LLC Files New Pricing Supplement

Morgan Stanley Finance LLC has filed a new pricing supplement for Trigger PLUS securities, reflecting its strategy to attract investors in a competitive market.

Morgan Stanley Finance LLC Files Pricing Supplement for New Securities

Morgan Stanley Finance LLC has filed a pricing supplement for new contingent income auto-callable securities, enhancing its investment product offerings.

Birch Capital Management Reveals Latest Investment Holdings

Birch Capital Management's latest 13F-HR filing shows its investment holdings, highlighting key positions in major companies as of September 30, 2026.

Investmark Advisory Group reports $308.2M in holdings

Investmark Advisory Group LLC's latest 13F-HR filing reveals $308.2 million in holdings as of September 30, 2026, highlighting its investment strategies.

Financialist News Desk

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