Sysorex Inc - Securities Registration Revoked for Non-Compliance
The SEC issued an Opinion and Order revoking the securities registration of Sysorex, Inc. (ticker: SYSX) under Section 12(j) of the Exchange Act. The company failed to file required periodic reports (Form 10-Q, Form 10-K) since August 2023, violating Section 13(a) and Rules 13a-1 and 13a-13. Sysorex failed to respond to the Order Instituting Proceedings and Order to Show Cause, and was deemed in default. This enforcement action permanently removes the company's securities from registered status.
NCBA - Securities Registration Revoked for Periodic Report Delinquency
The SEC revoked the securities registration of National Competitive Bowlers Association, Inc. (NCBA) under Section 12(j) of the Securities Exchange Act of 1934. The company violated Section 13(a) and Exchange Act Rules 13a-1 and 13a-13 by failing to file required annual and quarterly reports. NCBA was deemed in default after failing to respond to the Order Instituting Proceedings.
SEC v. Daniels Corporate Advisory Company - Registration Revocation for Periodic Filing Non-Compliance
The Securities and Exchange Commission issued an Opinion revoking the registration of Daniels Corporate Advisory Company, Inc. (ticker: DCAC) under Section 12(j) of the Securities Exchange Act of 1934. The company failed to file periodic reports since October 2022, violating Section 13(a) and Rules 13a-1 and 13a-13. The company ceased participating in proceedings and did not oppose the Division of Enforcement's motion for summary disposition.
MJ Holdings Registration Revoked for Filing Violations
The SEC revoked MJ Holdings, Inc.'s securities registration under Exchange Act Section 12(j) for repeated failures to file required periodic reports. The company failed to file annual reports (Form 10-K) and quarterly reports (Form 10-Q) since at least Q4 2023, violated Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13, and failed to respond to Commission proceedings. The registration of each class of the company's securities is now revoked.
SEC revokes Century Cobalt Corp. securities registration
The SEC revoked Century Cobalt Corp.'s securities registration under Section 12(j) of the Securities Exchange Act of 1934 for failure to file required periodic reports. The company, a Nevada corporation (CIK 1456802, ticker: CCOB), had not filed any periodic reports since its Form 10-Q for the period ended August 31, 2022, filed on June 13, 2023. The company failed to respond to the Order Instituting Proceedings and was deemed in default.
SEC Revokes Agri-Fintech Holdings Registration for Filing Failures
The SEC revoked the registration of Agri-Fintech Holdings, Inc. (f/k/a Tingo, Inc., ticker: TMNA) for failing to file required periodic reports under Section 13(a) of the Securities Exchange Act of 1934. The company, a Nevada corporation located in Draper, Utah, failed to file any periodic reports since its Form 10-Q for the period ended June 30, 2023, and defaulted by failing to respond to the Order Instituting Proceedings and Order to Show Cause. The revocation eliminates the company's registered securities from trading.
Q BioMed registration revoked, failed filing requirements
Q BioMed registration revoked, failed filing requirements
MedMen Enterprises Registration Revoked for Periodic Filing Failures
The SEC issued a final opinion revoking the registration of MedMen Enterprises, Inc. (ticker: MMNFQ) under Section 12(j) of the Securities Exchange Act of 1934. The company, a Canadian corporation with operations in Boca Raton, Florida, failed to file required periodic reports (Forms 10-K and 10-Q) since filing its last Form 10-Q in July 2023. The company also failed to respond to the Order Instituting Proceedings and subsequent Order to Show Cause, resulting in default.
SEC Extends Filing Deadline in Sterz FINRA Arbitration Review
The SEC issued an order granting FINRA's request to extend the time to file the certified record in Brian Michael Sterz's application for review of FINRA's denial of arbitration forum access. The extension was granted pending further order of the Commission. The SEC found that all four Rule 161 factors weighed in favor of the extension, as the proceeding was less than two weeks old, no prior extensions had been granted, and filing the record would be unnecessary if FINRA granted Sterz's pending request for reconsideration.
SEC Revokes Amergent Hospitality Group Securities Registration
The SEC issued an opinion revoking the securities registration of Amergent Hospitality Group Inc. (ticker: AMHGQ) for failure to comply with periodic filing requirements under Section 13(a) of the Securities Exchange Act of 1934. The company failed to file required annual and quarterly reports, leading the Commission to deem it in default and revoke its registration under Exchange Act Section 12(j).
Victoria Lake Registration Revoked for Periodic Filing Failures
The SEC revoked the registration of Victoria Lake, Inc. (ticker: LVCA) under Exchange Act Section 12(j) after the company failed to file required periodic reports. The company, an Oklahoma corporation located in Utah, had not filed any periodic reports since its Form 10-Q for the period ended February 28, 2023, and failed to respond to the Order Instituting Proceedings or Show Cause orders, resulting in a default judgment.
RPD Technologies Americas LLC acquires Abundia Global Impact membership
RPD Technologies Americas LLC, a Delaware limited liability company, acquired membership interests in Abundia Global Impact Group Inc. from Abundia Financial LLC pursuant to a Membership Interest Purchase Agreement dated April 1, 2026. The transaction includes standard representations, warranties, covenants, and conditions typical for private acquisitions.
No-Action Letter - Regulation A Reporting Suspension
The SEC Division of Corporation Finance issued a no-action letter granting Angel Studios 010, Inc. relief from Regulation A ongoing reporting requirements. The company may suspend reporting by filing Form 1-Z in reliance on Rule 257(d) by April 30, 2026, instead of submitting ongoing reports under Rule 257(b).
UniFirst Q2 Fiscal 2026 Financial Results
UniFirst Corporation reported Q2 fiscal 2026 revenues of $622.5 million, up 3.4% year-over-year. Operating income was $26.0 million with net income of $20.5 million ($1.13 diluted EPS), compared to $24.5 million ($1.31 EPS) in the prior year period. The company also announced a definitive merger agreement with Cintas Corporation at $155.00 cash plus 0.7720 Cintas shares per UniFirst share.
Tilray Q3 Revenue $207M 11% Organic Growth 73% International Cannabis
Tilray Brands reported record Q3 fiscal 2026 financial results with net revenue of $207 million, representing 11% organic growth. International cannabis revenue grew 73% year-over-year. The company also announced the acquisition of BrewDog for approximately £40 million cash and a partnership with Carlsberg beginning in 2027.
Veeva Systems - Delisting Determination Notice
SEC Form 8-K filed by Veeva Systems Inc. (CIK 0001840317) disclosing receipt of a delisting determination from the NYSE under Item 3.01 of Form 8-K. The company has been notified that it fails to satisfy continued listing standards, triggering potential removal from the exchange and transfer of trading to over-the-counter markets.
Federal Register Daily Index Prototype
The Federal Register published its daily index for April 2, 2026, containing 129 documents from 43 agencies across 275 pages. This prototype Web 2.0 version of the FederalRegister.gov daily index remains unofficial until the Administrative Committee of the Federal Register grants it official legal status. Contents include 100 notices, 13 proposed rules, 16 final rules, and 3 significant documents.
Nasdaq Texas Establishes Expanded Co-Location Service Fees
The SEC published Nasdaq Texas's proposed rule change to establish fees for expanded co-location services. The filing, designated Release No. 34-105113, was granted immediate effectiveness on April 2, 2026. The notice affects member firms and customers seeking co-location infrastructure at Nasdaq Texas trading facilities.
Nasdaq GEMX Co-Location Fee Schedule
Nasdaq GEMX, LLC filed with the SEC to establish fees for its expanded co-location services under SR-GEMX-2026-12. The proposed rule change was filed and made immediately effective, consistent with standard SRO fee filing procedures. Market participants utilizing or considering exchange co-location services should review the new fee structure.
NYSE Arca Amends Short Term Options Series Program
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2026-34) with the SEC to amend its Short Term Options Series Program. The filing, designated for immediate effectiveness under Release No. 34-105110, was published in the Federal Register as 91 FR 16778. The amendments modify the operational framework for short-term options series trading on the exchange.
NYSE American Equities Market Data Fee Changes
The SEC approved NYSE American's filing to modify proprietary market data fees for its equities platform under Release No. 34-105119. The proposed changes affect fees for professional and non-professional subscribers accessing real-time and delayed market data products. NYSE American invoked the immediate effectiveness provision under SEC rules for self-regulatory organization fee filings.
Nasdaq Co-Location Fee Establishment
The SEC published notice that Nasdaq filed SR-NASDAQ-2026-021 to establish fees for its expanded co-location services. The filing was made effective immediately under Release No. 34-105112. Trading firms using or considering Nasdaq co-location should review the new fee structure.
NYSE Proprietary Market Data Fees Amendment
The SEC published NYSE's proposed rule change to amend proprietary market data fees under Release No. 34-105118 and File No. SR-NYSE-2026-15. The filing proposes modifications to the fee schedule for NYSE market data products. This affects broker-dealers, investment advisers, and other market participants who subscribe to or distribute NYSE proprietary market data.
Order Regarding Collateral Broker-Dealers May Pledge When Borrowing Customer Securities
The SEC issued an order establishing requirements for the collateral broker-dealers may pledge when borrowing customer securities. Release No. 34-105108 establishes permissible collateral types and conditions for securities borrowing arrangements. Broker-dealers engaging in customer securities borrowing must comply with the new collateral pledge requirements effective upon issuance.
NYSE American Short Term Options Series Program Amendment
The SEC published NYSE American's proposed rule change to amend the Short Term Options Series Program under Release No. 34-105111 and File No. SR-NYSEAMER-2026-26. The amendment modifies the list of securities eligible for short-term options listings and related Series 5 governing procedures. This SRO rule change was filed and made immediately effective on April 2, 2026.
Cboe BZX Bitcoin ETF Rule Change
SEC published notice of Cboe BZX Exchange's proposed rule change to amend the ARK 21Shares Bitcoin ETF (Release No. 34-105120, File No. SR-CboeBZX-2026-020). The exchange filed under Section 19(b)(1) of the Securities Exchange Act with immediate effectiveness. This affects investors, broker-dealers, and market participants involved with Bitcoin ETFs.
Nasdaq ISE Co-Location Fee Proposal
The SEC published notice of Nasdaq ISE, LLC's proposed rule change (SR-ISE-2026-15) to establish fees for expanded co-location services. The filing was made under the Securities Exchange Act and became effective immediately upon filing. The proposed fees apply to firms utilizing co-location facilities at the exchange.
FINRA Rule 6272 Amendment - Odd-Lot Quotation Information Dissemination
FINRA filed a proposed rule change with the SEC to amend Rule 6272 (Character of Quotations) to modify the Alternative Display Facility's operation in response to SEC Regulation NMS requirements for odd-lot quotation information dissemination. The SEC noticed the filing under Release No. 34-105109 and File No. SR-FINRA-2026-006, effective immediately. Broker-dealers and market participants using the Alternative Display Facility should assess impacts to quotation and trading systems.
Nasdaq PHLX Co-Location Fee Schedule
The SEC published notice of Nasdaq PHLX's proposed rule change (SR-Phlx-2026-16, Release No. 34-105115) to establish fees for expanded co-location services. The filing was granted immediate effectiveness, allowing the exchange to implement the new fee structure for members seeking co-location space and connectivity services.
Nasdaq MRX Co-Location Service Fee Schedule
The SEC published a notice that Nasdaq MRX, LLC filed a proposed rule change to establish fees for expanded co-location services under Release No. 34-105114. The proposed rule change was immediately effective upon filing. Nasdaq MRX is a registered options market and self-regulatory organization.
NYSE Arca filing to amend equities market data fees
NYSE Arca filing to amend equities market data fees
DOOR (formerly Latch) 2025 Annual Report and Financial Update
Latch, Inc. (rebranded as DOOR) filed its Annual Report on Form 10-K for the year ended December 31, 2025 with the SEC, reporting total revenue of $70.1 million (24% year-over-year increase), software revenue of $22.1 million (9% increase), and a net loss of $53.7 million (7% improvement). The company's shares trade on OTC Markets under the symbol LTCH pending a formal ticker update.
Faraday Future Q4 and FY2025 Earnings Results
SEC EDGAR filing of Faraday Future Intelligent Electric Inc. (Nasdaq: FFAI) investor presentation for Q4 and full year 2025 earnings. The filing is submitted as Exhibit 99.2 and includes forward-looking statements regarding the company's Bridge Strategy, FF 91 production, and Nasdaq listing compliance status.
Faraday Future Q4 2025 Financial Results
Faraday Future Intelligent Electric Inc. (Nasdaq: FFAI) filed its Q4 and full year 2025 financial results with the SEC, reporting a return to positive stockholders' equity following approximately $100 million in debt optimization. The company announced that a U.S. SEC investigation has been concluded, removing a regulatory overhang and supporting capital markets re-engagement.
Separation and Distribution Agreement - Aptiv PLC and Versigent Limited
Aptiv PLC and Versigent Limited executed a Separation and Distribution Agreement dated March 30, 2026, establishing the terms for a corporate spin-off. The agreement covers transfer of assets and assumption of liabilities, mutual releases, indemnification provisions, credit support replacement, and conditions precedent to distribution. Portions of the agreement are redacted as confidential pursuant to Regulation S-K Item 601(b).
Aptiv PLC and Versigent Limited Separation and Distribution Agreement
Aptiv PLC and Versigent Limited executed a Separation and Distribution Agreement dated March 30, 2026. The agreement establishes the terms for the separation of Versigent Limited from Aptiv PLC, including transfer of assets and assumption of liabilities, mutual releases, indemnification provisions, and conditions precedent to distribution. The agreement was filed as Exhibit 2.1 with the SEC under Regulation S-K Item 601(b).
ON24 Inc Merger with Cvent - Form 8-K Current Report
ON24, Inc. filed Form 8-K with the SEC reporting completion of its merger with Cvent Atlanta, LLC and subsidiary Summit Sub Corp. on April 1, 2026. Cvent acquired all outstanding shares of ON24 common stock for $8.10 per share in cash. The company, previously listed on NYSE under symbol ONTF, ceased trading and became a wholly-owned subsidiary of Cvent.
First Foundation and FirstSun Capital Bancorp Merger Completion
First Foundation Inc. filed Form 8-K with the SEC reporting completion of its previously announced merger with FirstSun Capital Bancorp, effective April 1, 2026. First Foundation merged into FirstSun (surviving entity), and First Foundation Bank merged into Sunflower Bank, National Association. Each First Foundation common share was converted to 0.16083 shares of FirstSun common stock.
Smith and Dalton Charged with PetIQ Insider Trading
The SEC filed insider trading charges against Michael A. Smith, former President and COO of PetIQ, Inc., and his associate Douglas Joshua Dalton for trading ahead of Bansk Group LP's acquisition announcement on August 7, 2024. Smith purchased PetIQ stock in his ex-wife's accounts using material nonpublic information, then tipped Dalton who purchased call options, collectively generating over $200,000 in illicit profits.
Q3 Fiscal 2026 Earnings Results - Specialty Eggs 50.5% of Shell Egg Sales
Cal-Maine Foods, Inc. filed its Q3 fiscal 2026 results showing net sales of $667.0 million, down 53.0% year-over-year. Specialty eggs reached 50.5% of total shell egg sales, up 2,610 basis points from the prior year period. The company reported net income attributable to Cal-Maine Foods of $50.5 million, down 90.1%, with diluted EPS of $1.06.
Series A Convertible Perpetual Preferred Stock Certificate
Keurig Dr Pepper Inc. filed a Certificate of Designations with the SEC establishing 4,500,000 shares of Series A Convertible Perpetual Preferred Stock pursuant to Section 151 of the Delaware General Corporation Law. The preferred stock carries a 5.5% annual dividend rate on its $50 liquidation preference and is convertible into common stock at an initial conversion price of $50 per share.
RH Fourth Quarter and Fiscal Year 2025 Financial Results
RH (a public company) filed its Q4 2025 financial results as an SEC exhibit. The company reported Q4 revenues of $843M (up 3.7% YoY), Q4 net income of $29M (up 107% YoY), and FY 2025 net income of $125M (up 72% YoY). This is a routine earnings disclosure with no regulatory implications.
Cal-Maine Foods Appoints Dudley D. Wooley to Board of Directors
Cal-Maine Foods, Inc. (NASDAQ: CALM) announced the appointment of Dudley D. Wooley to its Board of Directors, effective April 1, 2026. Wooley succeeds Jim Poole, who recently passed away. He brings over 30 years of leadership experience, currently serving as CEO of Ross & Yerger Insurance, Inc., and holds multiple insurance and risk management certifications.
Merger Agreement - Compass Diversified Holdings and Sternocandlelamp Holdings
Compass Diversified Holdings LLC filed a merger agreement (EX-2.1) with the SEC dated March 28, 2026, involving acquisition vehicle WCHG Buyer Inc. and merger subsidiary WCHG Heat Merger Sub Inc. acquiring target Sternocandlelamp Holdings Inc. Compass Diversified Holdings serves as Stockholder Representative. The agreement covers merger consideration, adjustment escrow, closing indebtedness, and exchange procedures.
QXO Completes Acquisition of Kodiak Building Partners
QXO, Inc. announced completion of its acquisition of Kodiak Building Partners from Court Square Capital Partners for approximately $2.25 billion. The deal expands QXO's addressable market to more than $200 billion and is expected to be highly accretive to QXO's 2026 earnings. Kodiak co-founder Steve Swinney will lead QXO's new LBM division.
NYSE American Listing Standards - Unrestricted Publicly-Held Shares Requirements
The SEC published notice and approved NYSE American's proposed rule change to amend Sections 101 and 102 of the NYSE American Company Guide. The Exchange will now calculate market value of publicly-held shares using only unrestricted publicly-held shares, excluding securities subject to resale restrictions such as private placements, employee stock plans, and lockup agreements. The Exchange also added new definitions for Restricted Securities, Publicly-Held Shares, Unrestricted Securities, and Unrestricted Publicly-Held Shares.
UTP Plan Amendment - Nasdaq Name Change and Texas Stock Exchange Addition
The SEC published notice of the Fifty-Sixth Amendment to the UTP (Unlisted Trading Privileges) Plan, filed March 12, 2026. The amendment reflects the name change of Nasdaq BX, Inc. to Nasdaq Texas, Inc. and adds Texas Stock Exchange LLC as a new Participant. As a ministerial amendment, it becomes effective upon filing.
Rule 15c3-1 PRA Collection Extension
The SEC published a notice under the Paperwork Reduction Act seeking public comments on extending the existing information collection for Rule 15c3-1, which requires broker-dealers to maintain sufficient liquid assets to meet current liabilities and protect customer claims. Comments are due by June 1, 2026. The SEC estimates an aggregate annual burden of 67,773 hours and $133,867 in costs for broker-dealer respondents.
Cboe EDGA Exchange Clock Service Rule Change
The SEC published notice on March 26, 2026 of Cboe EDGA Exchange's proposed rule change to amend Rule 13.8 to establish a new optional Clock Service. The service would allow Members and non-Members to synchronize their time recording systems to the Exchange's primary clock for precise latency measurements. The proposal responds to participant demand for enhanced time synchronization options and is similar to services offered by other exchanges like MIAX Emerald.