Epic Capital Wealth Advisors, LLC - Investment Adviser Registration Denied
The SEC issued Release No. 105135 declaring final the initial decision on remand denying Epic Capital Wealth Advisors, LLC's application to register as an investment adviser under Section 203(c)(2)(B) of the Investment Advisers Act of 1940. The company did not file a petition for review, and the Commission did not initiate its own review, making the chief administrative law judge's decision the final agency order.
NT 10-K Late Filing Notice for Constellation Acquisition Corp I
Constellation Acquisition Corp I filed Form 12b-25 (Notification of Late Filing) with the SEC requesting an extension for its Annual Report on Form 10-K for the period ended December 31, 2025. The company cited the need to complete review and finalization of financial information and required disclosures. Under Rule 12b-25, the company has until the 15th calendar day following the prescribed due date to file.
Harbor Diversified Form 12b-25 Extension Request for 10-K Filing
Harbor Diversified, Inc. (SEC File No. 001-34584, CUSIP 41150R102) filed Form 12b-25 seeking a 15-day extension for its Annual Report on Form 10-K for the year ended December 31, 2025. The company cited the need for additional time to finalize financial statements and complete the audit as the reason for the late filing notification pursuant to SEC Rule 12b-25 under the Securities Exchange Act of 1934.
Late Filing Notice on Form 12b-25 for Adaptin Bio
SEC received Form 12b-25 notification from Adaptin Bio, Inc. (CIK: 1938571), a public company headquartered in Charlotte, NC, seeking an extension to file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025. The company cited last-minute processing delays and text adjustments as reasons preventing timely filing. Under Rule 12b-25, the company is granted a 15-calendar day extension period to submit the late report.
NT 10-K Late Filing Notice - IP Strategy Holdings, Inc.
SEC received Form 12b-25 Notification of Late Filing from IP Strategy Holdings, Inc. for its Annual Report on Form 10-K covering the fiscal year ended December 31, 2025. The registrant cites time constraints related to compilation and review of required information as the reason for the late filing and anticipates submitting the Form 10-K within 15 calendar days of the prescribed due date.
CYTTA Corp 10-Q Late Filing Notification
CYTTA Corp filed Form 12b-25 with the SEC notifying inability to timely file its Q1 2026 Form 10-Q. The company cites need for additional time to prepare accounting records for independent auditor review. The 10-Q is anticipated to be filed within the five-day extension period.
NT 10-K Late Filing Notice - Crucial Innovations Corp.
Crucial Innovations Corp. filed Form 12b-25 with the SEC on April 1, 2026, notifying of a delayed Form 10-K for the fiscal year ended December 31, 2025. The company cited inability to finalize financial statements without unreasonable effort or expense. Under Rule 12b-25 relief, the company has until April 15, 2026 to file the annual report.
Late 10-K filing for RAIN, period ended December 31
Late 10-K filing for RAIN, period ended December 31
Aspira Women's Health 10-K Extension Request
Aspira Women's Health Inc. filed Form 12b-25 with the SEC requesting a 15-calendar day extension to file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025. The company cited the need for additional time to complete tax provision accounting and disclosures as the reason for the delay. The extension deadline is 15 days from the original Form 10-K due date.
Saga Communications NT 10-K Late Filing Notification
Saga Communications, Inc. filed Form 12b-25 notification with the SEC indicating inability to timely file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025. The company cited need for additional time to complete analysis of technical tax matters and accounting impacts related to a sale-leaseback transaction disclosed in October 2025. Under SEC Rule 12b-25, the company is granted a 15-calendar day extension to file.
NT 10-K Late Filing Notice - Graf Global Corp
Graf Global Corp filed a Form 12b-25 Notification of Late Filing with the SEC indicating it cannot file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025 by the prescribed due date. The company states it requires additional time to prepare and finalize its financial statements and expects to file within 15 calendar days of the due date.
NT 10-K Late Filing Notification - EON Resources Inc.
EON Resources Inc. filed Form 12b-25 Notification of Late Filing with the SEC for its Annual Report on Form 10-K for fiscal year ended December 31, 2025. The company cited time constraints in compiling financial statements as the reason for requesting an extension, stating it will file within 15 days of the original prescribed due date.
Great Lakes Dredge & Dock Corp - Delisting Notice
SEC issued a delisting notice for Great Lakes Dredge & Dock Corporation (GLDD), a marine construction and dredging services company. The notice announces that the company's securities will be removed from listing and/or registration on a national securities exchange. GLDD was headquartered in Houston, TX.
United Security Bancshares Delisting Notice
The SEC received a Form 8-K from United Security Bancshares (ticker: UBFO) notifying the agency of a delisting notice. This is a routine disclosure filed under Item 3.01 of Form 8-K when a company receives notice from a national securities exchange that it is not in compliance with continued listing standards.
Blue Foundry Bancorp Delisting Notice for BLFY
SEC received Form 8-K from Blue Foundry Bancorp (CIK: 0001846017) notifying of delisting proceedings for ticker symbol BLFY. The filing triggers public company disclosure obligations and exchange delisting procedures under SEC Rule 12d2-2. Investors holding BLFY shares should monitor exchange notifications regarding trading suspension timelines.
Schedule 13E-4F Paperwork Reduction Act Extension Request
The SEC filed notice with OMB seeking renewal of the previously approved collection of information for Schedule 13E-4F, used by Canadian foreign private issuers making cash tender or exchange offers when less than 40% of the securities are held by U.S. holders. The estimated annual burden is 3 hours (3.33 hours per response × 1 response). The public may comment on this information collection request within 30 days by May 4, 2026.
NYSE Rights Listing Expansion Amendment
The SEC issued a notice extending the review period for NYSE's proposed rule change to expand rights listing circumstances under Section 703.12(II) of the NYSE Listed Company Manual. The original 45-day review period expiring April 3, 2026 has been extended to May 18, 2026 (File No. SR-NYSE-2026-05). No comment letters were received during the initial comment period.
Nasdaq MRX GPS Antenna Service Removal Date Extension
The SEC published a notice on March 27, 2026, soliciting comments on Nasdaq MRX's proposed rule change to extend the date for terminating dedicated GPS antenna services at its co-location facility in Carteret, NJ. The original termination date of April 1, 2026, is being extended to allow existing customers additional time to transition to shared GPS antenna services or remove their equipment.
Nasdaq GPS Antenna Removal Deadline Extension
The SEC published Nasdaq's proposed rule change to extend the deadline for removing dedicated GPS antennas from co-location services at the Carteret, NJ data center. The original compliance date of April 1, 2026 would be extended to allow existing customers additional time. The Exchange filed SR-NASDAQ-2026-019 on March 19, 2026, and the SEC is soliciting public comments on the proposal.
SEC Approves CAT NMS Plan Amendment Reducing Consolidated Audit Trail Costs
The SEC approved amendments to the CAT NMS Plan implementing cost savings measures for the Consolidated Audit Trail system. CAT LLC filed the proposed amendment on behalf of Plan Participants. The 2024 Cost Savings Amendment achieved approximately $30 million in annual savings, and this amendment builds on those efforts to further reduce CAT operating costs.
Nasdaq GEMX GPS Antenna Service Removal Date Extension
The SEC published Nasdaq GEMX's proposed rule change to extend the deadline for terminating dedicated GPS antenna co-location services under Rule General 8, Section 1(d). The Exchange originally set the removal date as April 1, 2026, and now proposes to extend that date. The SEC is soliciting public comments on the proposed change.
SEC deregistration application, Investment Company Act, March 2026
SEC deregistration application, Investment Company Act, March 2026
Extension of Schedule 13E-4F Information Collection Requirements
The SEC has submitted to OMB a request to extend the information collection requirements for Schedule 13E-4F (17 CFR 240.13e-102). This schedule may be used by Canadian foreign private issuers to make cash tender or exchange offers when less than 40 percent of securities are held by U.S. holders. The collection takes approximately 3.33 hours per response with 1 response annually, resulting in 3 hours total annual burden. The public may comment on this extension request through May 4, 2026.
Rule 15c2-11 Information Collection Extension Comment Request
The SEC published a 60-day notice under the Paperwork Reduction Act seeking public comments on the information collection requirements of Rule 15c2-11, which governs broker-dealer publication of OTC securities quotations. The notice extends the comment request and invites feedback on the estimated annual burden of 1,771,343 hours affecting approximately 196 broker-dealers, one QIDQS, and one RNSA.
Daily Federal Register Issue Index
The Office of the Federal Register published its daily index for April 1, 2026, cataloging 92 documents across 36 federal agencies. The issue contains 79 notices, 4 proposed rules, 9 final rules, and 3 significant documents spanning 388 pages.
Nasdaq Texas extends GPS antenna service removal deadline
The SEC published Nasdaq Texas LLC's filing to extend the designated removal date for dedicated GPS antenna service at its Carteret, NJ co-location facility (NY 11). The Exchange's Rule General 8, Section 1(d) governs this co-location service, which provides time synchronization to GPS network time for customers' transactional timestamping needs. This is the second extension of the removal deadline for existing GPS antenna customers.
Nasdaq GEMX extends GPS antenna service removal date
The SEC published Nasdaq GEMX's filing to extend the designated date for removal of dedicated GPS antenna service under Rule General 8, Section 1(d). The exchange's co-location customers in the Carteret, NJ data center who use GPS antenna services for time synchronization must remove equipment by the new extended date. The rule change was granted immediate effectiveness.
NYSE Rights Offering Listing Standards - SEC Review Period Extended
The SEC issued a notice extending the review period for NYSE's proposed rule change to amend Section 703.12(II) of the NYSE Listed Company Manual, which would expand circumstances under which rights may be listed. The original 45-day review period expiring April 3, 2026, has been extended to May 18, 2026. This is a standard administrative action under Section 19(b)(2) of the Securities Exchange Act of 1934.
Nasdaq ISE extends GPS antenna service removal date
The SEC published notice that Nasdaq ISE, LLC filed SR-ISE-2026-11 to extend the designated date for removal of dedicated GPS antenna service under Rule General 8, Section 1(d) (Co-Location Services). The Exchange's GPS antenna service allows co-location customers at the NY 11 data center in Carteret, NJ to synchronize time recording systems to GPS network time. The rule change is effective immediately upon filing.
Fifty-Sixth Amendment to Nasdaq UTP Plan - Nasdaq Texas Name Change and TSE Admission
The SEC published notice of the 56th Amendment to the Nasdaq UTP Plan, effective March 12, 2026 upon filing. The amendment reflects the name change of Nasdaq BX, Inc. to Nasdaq Texas, Inc. and admits Texas Stock Exchange LLC as a new Participant to the UTP Plan. The amendment was filed as a "Ministerial Amendment" under Section XVI of the UTP Plan.
Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)
Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)
Rule 15c3-1 Paperwork Reduction Act Extension Comment Request
The SEC published a notice requesting public comments on extending OMB Control No. 3235-0200, which covers the information collection requirements of Rule 15c3-1 under the Securities Exchange Act of 1934. Rule 15c3-1 requires broker-dealers to maintain sufficient liquid assets to meet current liabilities and customer claims. The SEC estimates broker-dealer respondents incur approximately 67,773 hours of annual time burden and $133,867 in aggregate annual costs to comply. Comments are due by June 1, 2026.
NYSE American Options Fee Schedule Changes for Non-Customers and Floor Brokers
NYSE American LLC filed a proposed rule change with the SEC to modify its Options Fee Schedule. The Exchange proposes to extend the $0.12 per contract Non-Customer Complex Surcharge to Manual non-Simple orders executing against Customer Manual non-Simple orders, and to establish a new rebate for Floor Broker orders trading with Floor Market Maker orders. The proposed effective date is March 10, 2026.
Texas Stock Exchange warrant performance incentive program
The SEC published Texas Stock Exchange LLC's proposed rule change to implement the Rodeo Program, a warrant performance incentive program for Exchange Members. Under the Program, Members who prepay $250,000 and meet liquidity volume thresholds will receive warrants to purchase equity in TXSE Group Inc. The Program runs from September 1, 2026 through August 31, 2027. Comments are being solicited from interested persons.
Wide Market Protection Mechanism for Trading Sessions
The SEC published notice of Cboe Exchange's proposed rule change to amend Rule 5.34(a)(5), expanding the wide market protection mechanism to apply on a trading session-by-trading session basis in addition to the existing class-by-class approach. The proposal would permit the Exchange to determine applicability of this risk control mechanism for each trading session (RTH and Curb) separately, with the protection still not applying during a predetermined time prior to close. Comments are being solicited on SR-CboeOptions-2026-019.
NYSE Arca proposes broker credit cap waiver 26th Mar
NYSE Arca proposes broker credit cap waiver 26th Mar
Regan Capital Alternative Income Fund Exemption Request
The SEC published a notice of application filed by Regan Capital Alternative Income Fund and Regan Capital, LLC under section 6(c) of the Investment Company Act of 1940. The applicants request exemptions from sections 18(a)(2), 18(c), and 18(i), rule 23c-3, and section 17(d) to permit registered closed-end investment companies to issue multiple classes of shares and impose asset-based distribution/service fees and early withdrawal charges. Hearing requests must be received by April 20, 2026.
Nasdaq MRX Extended Trading Hours for Equity and Index Options
The SEC published notice on March 26, 2026 that Nasdaq MRX filed a proposed rule change to adopt Extended Trading Hours (ETH) for certain eligible index options (NDX, NDPX, XND) and multi-listed equity options. The proposal would establish an Early ETH Session from 7:30 a.m. to 9:25 a.m. Eastern Time and an Extended Close trading session until 4:15 p.m. for eligible options. Comments are due by April 25, 2026.
SIPC Cash Advance Threshold - No Inflation Adjustment
The SEC approved SIPC's determination to maintain the standard maximum cash advance amount at $250,000 per customer for the five-year period beginning January 1, 2027. The SIPC Board weighed factors including the state of the SIPC Fund and economic conditions against the formula-driven increase to $350,000, deciding no adjustment was appropriate. No public comments were received during the review period.
Inflation Adjustments to Qualified Client Thresholds for Performance Fees
The SEC issued a notice of intent to issue an order adjusting inflation thresholds for qualified client tests under Investment Advisers Act Rule 205-3. The order would increase the minimum net worth threshold (currently $1,500,000) and the minimum assets-under-management threshold (currently $750,000) that determine when investment advisers may charge performance-based fees. These adjustments are required every five years under Dodd-Frank Act Section 205(e).
Consolidated Audit Trail Amendment Reducing Costs
The SEC approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan) to implement cost savings measures. CAT LLC, on behalf of the Participants, proposed the amendment to reduce the costs associated with the Consolidated Audit Trail. The Commission found the amendment appropriate in the public interest and for the protection of investors.
Request for Comments on Extension of Rule 8c-1 Information Collection
The SEC published a notice requesting comments on extending Rule 8c-1 information collection requirements under the Paperwork Reduction Act. Rule 8c-1 regulates broker-dealer use of customer securities as collateral, prohibiting commingling and requiring written notifications to pledgees. Approximately 54 broker-dealers would be affected, with an estimated 2,430 annual responses generating 1,215 burden hours.
Nasdaq PHLX Extends GPS Antenna Service Removal Deadline
The SEC published notice that Nasdaq PHLX LLC filed a proposed rule change to extend the designated removal date for the Exchange's dedicated GPS antenna service under Rule General 8, Section 1(d). The service, which provides time synchronization for co-location customers at the NY 11 data center in Carteret, NJ, will have its termination deadline extended. The filing was designated as immediately effective under File No. SR-Phlx-2026-14.
NYSE American Initial Listing Standards Amendment
The SEC granted accelerated approval to NYSE American's Amendment No. 1 (SR-NYSEAMER-2026-02) modifying initial listing standards in Sections 101 and 102 of the NYSE American Company Guide. The rule change increases quantitative requirements for initial listing and introduces enhanced liquidity standards for listed securities, with conforming changes to Section 1003(b)(i).
Nasdaq extends designated date for GPS antenna service removal
Nasdaq extends designated date for GPS antenna service removal
Nasdaq MRX Extends GPS Antenna Service Removal Deadline
The SEC published notice that Nasdaq MRX, LLC filed a proposed rule change to extend the designated date for removal of dedicated GPS antenna service under General 8, Section 1(d) (Co-Location Services). The Exchange operates a GPS antenna service at its Carteret, NJ data center allowing customers to synchronize time recording systems to GPS network time. Existing customers with dedicated GPS antennas may continue using the service pending the extended removal deadline.
Extension of Rule 203-2 and Form ADV-W Investment Adviser Withdrawal Procedures
The SEC has issued a notice requesting public comments on extending OMB Control No. 3235-0313, covering Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940. The collection establishes procedures for investment advisers to withdraw their SEC registration electronically via IARD. The SEC estimates approximately 880 full withdrawals and 673 partial withdrawals annually, totaling 828.25 burden hours.
NT 10-K Late Filing Notification - Forum Markets Inc
SEC received a Form 12b-25 Notification of Late Filing from Forum Markets, Inc. (SEC File No. 001-38105), indicating the company was unable to file its Annual Report on Form 10-K for the fiscal year ended December 31, 2025 by the prescribed due date of March 31, 2026. The registrant stated it plans to file the report on or before April 15, 2026.
Beam Global NT 10-K Late Filing Notification
Beam Global filed Form 12b-25 with the SEC notifying of late filing for its Form 10-K annual report for the fiscal year ended December 31, 2025. The company cited inability to complete compilation, dissemination, review and finalization of required information without unreasonable effort or expense. Under Rule 12b-25, the company has until April 15, 2026 (15-day grace period) to file the Form 10-K.
NT 10-K Late Filing Notification for Maui Land & Pineapple Co Inc
Maui Land & Pineapple Company, Inc. filed Form NT 10-K with the SEC under Rule 12b-25, seeking an extension for its Annual Report on Form 10-K for fiscal year ended December 31, 2025. The company cited delays in obtaining and compiling required information. The original filing deadline was March 31, 2026; the company expects to file within 15 calendar days following the prescribed due date.
Former NewAge CEO Consent Judgment - Securities Fraud and Disclosure Violations
The SEC obtained a final consent judgment against Brent David Willis, former CEO of NewAge, Inc., for making false and misleading public statements from July 2017 through April 2019 and aiding and abetting selective disclosure of material nonpublic information. Willis agreed to a $175,000 civil monetary penalty and a five-year officer and director bar, without admitting or denying the allegations.
SEC v. P/E Capital Investment Management Partners - Improper Fee Enforcement
The SEC obtained final judgments against Chicago-based investment adviser P/E Capital Investment Management Partners and its CEO Eliseo Prisno for charging over 200 advisory clients approximately $2.4 million in unauthorized and undisclosed quarterly fees between February 2019 and July 2023. The judgments permanently enjoin both defendants from violating antifraud provisions of the Investment Advisers Act and bar Prisno from the securities industry.
SEC v. Sand and Fullenkamp - Penny Stock Fraud
The SEC charged Scott Sand and Jon Fullenkamp with allegedly perpetrating a fraud scheme to misappropriate $2.6 million from two penny stock issuers from October 2020 through 2023. The defendants allegedly controlled the issuers without formal management titles, created sham agreements with Fullenkamp-controlled entities, and issued preferred shares worth millions that they sold for personal gain. Fullenkamp consented to permanent injunction, officer/director and penny stock bars, and disgorgement without admitting the allegations.