Funding portal, broker-dealer and transfer agent filings this month

Questions this list answers

How many issuers had a filing event this month?

28 issuers had at least one filing event between Oct 7, 2026 and Nov 6, 2026. The most recent is WNC CAPITAL CORPORATION (Broker-dealer annual audit, Nov 5, 2026).

What counts as a filing event?

A filing AltStreet's EDGAR monitor classified by type: an offering statement or amendment, a qualification, a supplement, a progress update, an annual or semiannual report, a current report, a close, a withdrawal or an exit. One row per issuer, showing the latest event.

Where do these figures come from?

From the SEC EDGAR filings themselves, read the day they land. Every row links to the issuer's free entity page on AltStreet and to the filing on SEC.gov. AltStreet does not adjust the filed figures.

More filing lists

• Biggest Form D raises this week

  New Form D notices from the last seven days, ranked by the amount already sold when the notice was filed.

• Biggest Form D raises this month

  New Form D notices from the last thirty days, ranked by the amount already sold when the notice was filed.

• New Form D filers this week

  Issuers whose first Form D landed in the last seven days: the raise is already live.

• New 3(c)(1) funds this week

  First-time Form D filers claiming the Investment Company Act 3(c)(1) exclusion, the structure most retail-facing funds use.

• New 3(c)(7) funds this week

  First-time Form D filers claiming the 3(c)(7) exclusion, which limits the fund to qualified purchasers.

• New operating-company raises this week

  First-time Form D filers that are operating businesses rather than pooled investment funds.

• New real estate raises this week

  First-time Form D filers in the residential, commercial, REIT and other real estate industry groups.

• Regulation A activity this month

  Every Regulation A issuer with a filing event in the last thirty days: qualifications, supplements, annual and semiannual reports, current reports.

• Regulation Crowdfunding activity this month

  Every Reg CF issuer with a filing event in the last thirty days: launches, amendments, progress updates, closes and annual reports.

• Registered fund filings this month

  Every fund on AltStreet's 1940 Act watch-list with a filing in the last thirty days: quarterly portfolio reports, annual census and shareholder reports, repurchase offers and tender results.

• Deregistrations, third-party tenders and going-private filings this month

  Form 15 filings that end a registrant's periodic reporting, Schedule TO-T tenders by someone other than the issuer, and Schedule 13E-3 going-private transactions filed in the last thirty days.

• New offerings by name and date · EDGAR entity search

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