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Sunday, November 1, 2026

Companies

Public company updates

HSBC USA Inc. files prospectus for securities offerings

HSBC USA Inc. has submitted a prospectus for new securities offerings, reflecting trends in the National Commercial Banks sector.

Wheeler Real Estate Investment Trust files prospectus for capital

Wheeler Real Estate Investment Trust, Inc. files a prospectus to raise capital, signaling growth plans in the competitive real estate investment trust sector.

ScanSource files annual report, reveals key business insights

ScanSource, Inc. has filed its annual report, providing insights into its operations and the wholesale computer and software industry.

BofA Finance LLC Files New Prospectus for Capital Raising

BofA Finance LLC has filed a new prospectus, reflecting its efforts to raise capital in the competitive national commercial banks sector.

AQR Flex 1 Series LLC - Series C4 files amended offering notice

AQR Flex 1 Series LLC - Series C4 has filed an amended notice of exempt offering of securities, reflecting its strategy to attract investment.

Masterworks Vault 1, LLC Reports Fundamental Changes

Masterworks Vault 1, LLC has filed a report detailing fundamental changes that could impact its operations and the retail industry.

BofA Finance LLC files prospectus for new securities offering

BofA Finance LLC has filed a prospectus to offer new securities, signaling a capital-raising move in the National Commercial Banks sector.

Kapur Vimal files Form 144 for proposed securities sale

Kapur Vimal has filed a Form 144 indicating a proposed sale of securities, potentially impacting the aircraft engines and parts industry.

Alalza Investment LLC announces exempt offering of securities

Alalza Investment LLC files Form D to raise capital through an exempt offering of securities, reflecting trends in alternative funding strategies.

ScanSource files additional proxy materials for shareholders

ScanSource, Inc. files additional definitive proxy materials, signaling upcoming shareholder decisions that could impact its strategic direction.

TEN Holdings files prospectus for upcoming capital offering

TEN Holdings, Inc. files a prospectus to raise capital, signaling growth ambitions in the business services sector.

Herzfeld Credit Income Fund files definitive proxy statement

Herzfeld Credit Income Fund, Inc. files a definitive proxy statement ahead of shareholder voting on important corporate matters, emphasizing governance and transparency.

Bank of Montreal Files Free Writing Prospectus for Offerings

Bank of Montreal files a free writing prospectus, signaling potential new offerings in the commercial banking sector.

Northern Lights Fund Trust IV Files Post-Effective Amendment

Northern Lights Fund Trust IV has filed a post-effective amendment, reflecting updates to its investment offerings and strategies in a competitive market.

Btab Ecommerce Group files new prospectus for business combo

Btab Ecommerce Group, Inc. has filed a new prospectus related to its business combination efforts, marking a significant step in its strategic initiatives.

Ort Miriam Files Form 144 for Proposed Sale of Securities

Ort Miriam's recent filing indicates a proposed sale of securities, reflecting ongoing activity in the general industrial machinery sector.

Ballast Financial Advisors files quarterly report on holdings

Ballast Financial Advisors LLC has filed its quarterly report detailing investment holdings as of September 30, 2026, reflecting its current strategies.

Atlas Energy Solutions files preliminary proxy statement

Atlas Energy Solutions Inc. has filed a preliminary proxy statement, signaling potential governance changes and upcoming shareholder meetings.

First Trust High Yield Opportunities 2027 Term Fund Reports

First Trust High Yield Opportunities 2027 Term Fund has filed its latest monthly portfolio report, showcasing its investment strategies and holdings.

Michael Brady & Co. files quarterly 13F-HR report

Michael Brady & Co., LLC has submitted its quarterly 13F-HR report, revealing its institutional investment holdings 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 →