DeFi Capital Markets, Inc. has registered its S-3 filing, which allows the company to raise capital through securities offerings. This development is crucial for the firm as it seeks to enhance its financial position and expand its operations.

Background

DeFi Capital Markets, Inc., identified by CIK 0000102109, operates under the Standard Industrial Classification (SIC) code 5065, which covers wholesale electronic parts and equipment, NEC. The company is listed on the New York Stock Exchange under the tickers DCM and UUU. Recent filings include an S-3 registration on October 26, 2026, and a series of 8-K reports throughout October 2026.

What the Filing Says

The recent filing indicates that the effectiveness date of the S-3 registration is November 3, 2026. This allows DeFi Capital Markets to proceed with capital raising initiatives as part of its growth strategy.

Impact

This registration may affect investors, stakeholders, and competitors in the wholesale electronic parts and equipment sector. Increased access to capital could position DeFi Capital Markets advantageously within the industry.

What's Next

The filing does not say what happens next.

Company Information

DeFi Capital Markets, Inc. is incorporated in Maryland and operates under the organization name 07 Trade & Services. The company has an Employer Identification Number (EIN) of 520898545 and reports a fiscal year ending on December 31.

Business Address

The company's business and mailing address is 11407 Cronhill Drive, Suites A-D, Owings Mills, MD 21117-3586. They can be reached via phone at 410-363-3000.

Former Company Names

Prior to its current name, DeFi Capital Markets was known as Universal Safety Products, Inc., with the name change occurring on June 26, 2025. Additionally, it was previously called Universal Security Instruments Inc., which was changed on July 3, 1992.

Filing Details

The S-3 registration statement was filed under the Securities Act of 1933, with the SEC file number 333-299643. The filing was accepted on November 3, 2026, and the effectiveness date is also noted as November 3, 2026.