Regulation
Rules, filings, and the agencies behind them.
ESS Tech Faces NYSE Delisting After Failing Equity Requirement
ESS Tech was notified it no longer meets the NYSE’s $50 million equity or market cap rule, putting its stock at risk of removal from the exchange.
- Regulation
Elme Communities Sells Last Properties, Starts NYSE Delisting
Elme Communities sold its final two assets for $103.2 million and will pay shareholders a $1.74 per share distribution as it begins delisting from the NYSE.
- Regulation
SurgePays Warned by Nasdaq Over Listing Rule Compliance
SurgePays received a Nasdaq notice for failing a continued listing standard after its shares fell 43% in a month, forcing the company to respond or risk delisting.
- Regulation
McCormick to Change Auditors After SEC Independence Conflict
McCormick will replace Ernst & Young as auditor after its 2026 annual report due to SEC independence rules tied to a deal with Unilever, requiring a new appointment.
- Regulation
Nexalin Technology Risks Nasdaq Delisting After 54% Share Price Drop
Nexalin Technology received a Nasdaq notice of non-compliance following a 54% share price fall in one month, requiring corrective action to avoid potential delisting.
- Regulation
Lumen to Leave NYSE for Nasdaq After Board-backed Delisting Notice
Lumen Technologies filed to voluntarily delist from the NYSE and move to Nasdaq, triggering SEC rules and a set timeline for the transition, after board approval.
- Regulation
Benitec Biopharma Switches Auditors to Ernst & Young After Board Review
Benitec Biopharma named Ernst & Young as its new independent auditor, replacing Baker Tilly after a board audit committee review, according to a September 24 SEC filing.
- Regulation
BayFirst Financial Reports Shareholder Vote Results in SEC Filing
BayFirst Financial disclosed the outcome of shareholder votes and related exhibits in an 8-K filed September 24, 2026, meeting immediate SEC reporting requirements.
- Regulation
SkyAI Reports Shareholder Vote Results to Meet SEC Disclosure Rules
SkyAI filed an 8-K on September 24, 2026, detailing shareholder vote outcomes as required by the SEC, ensuring transparency and compliance for investors and regulators.
- Regulation
NEXGEL Files Shareholder Vote Results with SEC for Transparency
NEXGEL disclosed the outcome of its shareholder vote in an 8-K filing on September 23, 2026, as required by SEC rules to ensure public transparency.
- Regulation
Saratoga Investment Reports Shareholder Vote Results in SEC Filing
Saratoga Investment disclosed that a shareholder vote took place, as required by SEC rules, keeping investors informed about corporate governance actions as of September 23, 2026.
- Regulation
Caesars Entertainment Files Shareholder Vote Results with SEC
Caesars Entertainment disclosed the outcomes of a recent shareholder vote in an SEC filing on September 23, 2026, fulfilling regulatory requirements for investor transparency.
- Regulation
Culp Reports Shareholder Vote Results to Meet SEC Rules
Culp has filed an 8-K disclosing shareholder vote matters as required by SEC regulations, confirming compliance and informing investors of corporate governance actions.
- Regulation
Lakeshore Acquisition III Moves Listing to Nasdaq Capital Market
Lakeshore Acquisition III will transfer its units, shares, and rights from the Nasdaq Global Market to the Nasdaq Capital Market on September 24, 2026, after regulatory approval.
- Regulation
SharonAI Holdings Swaps Auditors, Triggers SEC Disclosure Rules
SharonAI Holdings changed its certifying accountant and filed an 8-K with the SEC, requiring prompt public disclosure and statements from both the outgoing and incoming auditors.
- Regulation
Sky Quarry Files SEC Report on Shareholder Vote, Details Undisclosed
Sky Quarry reported the outcome of a shareholder vote in its sixth SEC filing in 90 days, but did not disclose what was voted on or the specific results.
- Regulation
Take-Two Changes Bylaws and Discloses Shareholder Vote Results
Take-Two Interactive amended its articles or bylaws and reported shareholder vote outcomes in an SEC filing, signaling material changes investors need to know about corporate governance.
- Earnings
Sintx Technologies Revenue Jumps 380% on Strong Ceramics Sales
Sintx Technologies reported $2.2 million in third-quarter revenue, up about 380% from the prior quarter, as industrial ceramics sales to aerospace customers exceeded expectations.
- Energy
National Fuel Gas Buys Ohio Utility, Adds 335,000 Customers
The acquisition of CenterPoint’s Ohio business doubles National Fuel Gas’s regulated utility rate base and expands its service to 16 more counties, boosting its customer total to 1.1 million.
- Technology
Inseego Doubles Revenue with Nokia Deal but Profit Outlook Unclear
Inseego’s purchase of Nokia’s Fixed Wireless Access business doubles its revenue and expands its global reach, but the company has not disclosed how the deal will affect profit margins.
- Companies
Sadot Group Buys SalesIQ Platform, Shifts Focus to Tech-driven Business
Sadot Group’s acquisition of the AI-enabled SalesIQ platform and related equity issuance marks a major turn toward technology but adds complexity to its capital structure and investment risks.
- IPOs
FrontView REIT Reveals Unregistered Equity Sale in New SEC Filing
FrontView REIT disclosed an unregistered equity sale in a September 30 SEC filing, marking a fresh share supply event, but did not specify the number of shares involved.
- Commodities
Zone Frontier Leases 4,077 Acres in Texas for Data and Solar Use
Zone Frontier signed a 30-year lease in Potter County, Texas, allowing up to 800 acres for data centers and at least 1,800 acres for solar and battery storage projects.
- Earnings
Streamex Reports Quarterly Earnings with No Update on Product Pipeline
Streamex disclosed financial results in its September 30 SEC filing, but did not provide any information on clinical trials or product development, leaving future progress uncertain.
