Global High-Priority Regulatory Events — March 03, 2026

03-03-2026

Series Portfolios Trust, on behalf of Equable Shares Hedged Equity ETF, filed a Rule 497(j) certification confirming that the Prospectus and Statement of Additional Information have not changed from those in Post-Effective Amendment No. 242 to its Form N-1A registration statement, dated February 28, 2026, and filed on February 27, 2026. No material updates or revisions to the disclosure documents were reported.

• ·File Nos. 333-206240 and 811-23084
• ·Contact: (414) 516-1652

03-03-2026

Tidal Trust II filed a Rule 497(j) certification stating no changes to the prospectus or Statement of Additional Information for the Nicholas Crypto Income ETF compared to the most recent Post-Effective Amendment No. 545, effective February 27, 2026. This routine filing confirms definitive materials remain unchanged. No financial metrics or performance data were disclosed.

• ·File Nos. 333-264478, 811-23793
• ·Post-Effective Amendment No. 545 effective February 27, 2026

03-03-2026

BlackRock ETF Trust filed a Summary Prospectus dated February 27, 2026, for the iShares Enhanced Short-Term Bond Active ETF (CSHP) on NYSE Arca, which seeks total return exceeding the ICE BofA 3-Month U.S. Treasury Bill Index through investments in short-term investment-grade bonds with a dollar-weighted average life and maturity of one year or less. Annual Fund Operating Expenses are 0.20%, with management fees of 0.20% and other expenses at 0.00%; portfolio turnover was flat at 0% for the fiscal year ended October 31, 2025. The prospectus highlights principal risks including debt securities risk (credit, interest rate, extension, prepayment) and derivatives risk, with no material performance declines or growth metrics reported.

• ·BFA contractually waives portion of management fees equal to Acquired Fund Fees and Expenses through June 30, 2027.
• ·Fund invests primarily in fixed- and floating-rate securities maturing in three years or less; rated BBB-/Baa3 or equivalent.
• ·Expense example costs for $10,000 investment: 1 Year $20, 3 Years $64, 5 Years $113, 10 Years $255 (assuming 5% annual return).
• ·Fund is non-diversified and actively managed ETF, not seeking stable $1.00 NAV.

03-03-2026

Vanguard Explorer Fund submitted a Rule 497(j) certification on March 3, 2026, confirming that its Prospectus and Statement of Additional Information remain unchanged from the most recent post-effective amendment filed electronically. The letter was signed by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc., with a copy to Lisa N. Larkin at the SEC. No material updates or changes were reported.

03-03-2026

BlackRock Funds III filed a Summary Prospectus for its BlackRock Diversified Fixed Income Fund Class K Shares (BDVFX) on March 3, 2026, dated February 27, 2026, outlining the fund's objective of providing income and capital growth through investments in fixed income instruments. Annual operating expenses total 0.38% (reduced to 0.17% after contractual waivers), with a notably high portfolio turnover rate of 567% in the most recent fiscal year, which may lead to elevated transaction costs and tax implications. Various fee waivers by BlackRock Fund Advisors (BFA) and BlackRock Advisors, LLC (BAL) are in place through June 30, 2027, and Independent Expenses reimbursements extend through June 30, 2036.

• ·Fund invests at least 80% of net assets in fixed income instruments, including up to 20% in high yield bonds and up to 10% in CDOs/CLOs.
• ·Contractual management fee waiver of 0.10% by BFA and administration fee waiver of 0.10% by BAL through June 30, 2027.
• ·Independent Expenses reimbursed to 0.00% through June 30, 2036, with automatic annual renewal.
• ·Hypothetical expense example for $10,000 investment: 1 Year $17, 3 Years $101, 5 Years $192, 10 Years $460 (assuming 5% annual return).

03-03-2026

BlackRock Funds III filed a Summary Prospectus dated February 27, 2026, for its BlackRock Diversified Fixed Income Fund Institutional Shares (BDVIX), which seeks a combination of income and capital growth by investing at least 80% of assets in fixed income instruments, including up to 20% in high yield bonds. Annual Fund Operating Expenses for Institutional Shares total 0.48% before waivers, reduced to 0.27% after contractual waivers through June 30, 2027; a hypothetical $10,000 investment would incur costs of $28 (1 year), $133 (3 years), $248 (5 years), and $583 (10 years). The Fund's portfolio turnover rate was 567% in the most recent fiscal year, signaling high transaction activity and potential tax implications.

• ·Contractual management fee waivers by BFA (0.10%) and administration fee waivers by BAL (0.10%) through June 30, 2027.
• ·Independent Expenses reimbursed to 0.00% through June 30, 2036, with perpetual 10-year renewal.
• ·Fund may invest up to 10% in CDOs/CLOs and use derivatives including futures, options, swaps for hedging or enhancing returns.
• ·Principal risks include debt securities risks (credit, interest rate, extension, prepayment), with example of 10% value drop if rates rise 1% on 10-year duration portfolio.

03-03-2026

Frontier Springs Ltd. has issued a notice pursuant to Regulations 5 and 6 of SEBI (Delisting of Equity Shares) Regulations, 2021, for the proposed voluntary delisting of its equity shares from The Calcutta Stock Exchange Limited (CSE) only, following a board meeting. The company will continue listing and trading on BSE Limited, stating that trading on CSE has been at a low level for many years and incurs extra costs without affecting investor interests. Newspaper advertisements were published in Financial Express (English), Jansatta (Hindi), and Arthik Lipi (Bengali) on March 3, 2026.

• ·Scrip Code on BSE: 522195
• ·Scrip Code on CSE: 016028
• ·CIN: L1719UP191PLC05212
• ·Board meeting held on Thursday, January 2, 2026
• ·Registered Office: M5, Kalpi Road, Rania, Kanpur Dehat - 209304, UP

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 136 to its Form N-1A registration statement on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 78 (filed November 21, 2025) for nine proposed Leverage Shares 3X Target Long Daily ETF series until March 18, 2026. The delayed series target Artificial Intelligence, China Technology, Equal Weight US 500, Gold Miners, India, Magnificent 7, Quantum Computing, Uranium, and World Markets. No financial performance data or period-over-period comparisons are provided, as this is an administrative filing incorporating prior amendments by reference.

• ·File Nos.: 333-271700, 811-23872
• ·Registrant address: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830
• ·Telephone: (646) 206-1788
• ·Incorporates Part C from Post-Effective Amendment No. 135 filed February 27, 2026

03-03-2026

First Trust Series Fund filed a Rule 497K Summary Prospectus dated March 2, 2026, for the First Trust Preferred Securities and Income Fund, outlining shareholder fees (up to 4.50% sales load for Class A), annual operating expenses ranging from 1.06% (Class I after waivers) to 5.10% (Class R3 before waivers), and a strategy investing at least 80% in preferred securities with financial sector concentration. The fund's portfolio turnover was 48% in the most recent fiscal year, while fee waivers cap expenses at 1.15% through March 1, 2027 (then 1.50% until 2036). No performance data or period comparisons are provided.

• ·Fund invests at least 60% in investment grade securities and up to 40% in high yield ('junk bonds').
• ·Concentration of at least 25% in financial sector including banks, REITs, and insurance.
• ·Fee waivers and reimbursements subject to potential recoupment over three years.

03-03-2026

BlackRock ETF Trust filed a Summary Prospectus dated February 27, 2026, effective March 3, 2026, for the iShares Prime Money Market ETF (PMMF, NYSE: PMMF), an actively managed ETF seeking high current income consistent with liquidity and principal stability, with low total annual operating expenses of 0.20%. The Fund invests primarily in U.S. dollar-denominated money market instruments maturing in 397 days or less, maintaining a dollar-weighted average maturity of 60 days or less and average life of 120 days or less. While fees are minimal, the prospectus highlights principal risks including credit risk, interest rate risk, repurchase agreement risk, and potential liquidity fees up to 2%.

• ·Securities maturing in 397 days or less
• ·Dollar-weighted average maturity of 60 days or less
• ·Dollar-weighted average life of 120 days or less
• ·Qualifies as money market fund under Rule 2a-7
• ·Cash creations and redemptions (no in-kind)
• ·Prospectus available at https://www.blackrock.com/prospectus or by calling 1-800-474-2737

03-03-2026

The Board of Directors of Mangalore Refinery and Petrochemicals Limited (MRPL) approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 face value (40%) for FY 2025-26, with record date fixed as March 11, 2026, and payment on or before April 02, 2026. The Board also recommended the appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five consecutive years from FY 2026-27 to FY 2030-31, subject to shareholder approval at the ensuing AGM. No other material financial performance metrics or comparisons were disclosed.

• ·Board meeting held on March 03, 2026, commenced at 16:00 hrs and concluded at 17:40 hrs.
• ·Secretarial Auditor firm details: COP/Registration No. 14984/2015, office at 121, Vinayak Apartments, C-58/19, Sector-62, Noida-201307, UP.

03-03-2026

Asian Hotels (North) Limited received a fine of ₹4.48 Lakh (inclusive of GST) from NSE on February 27, 2026, for 76 days of non-compliance with Regulation 17(1) of SEBI Listing Regulations due to failure to appoint a woman director on the Board. The company asserts no material impact on its financial, operational, or other activities. The disclosure to exchanges was delayed due to the NSE notice email being quarantined in the spam folder.

• ·SEBI Master Circular No. HO/49/14/14(7)2025-CFDPOD2/I/3762/2026 dated July 11, 2023, last updated January 30, 2026
• ·NSE letter reference: NSE/LIST-SOP/COMB/FINES/0215 dated February 27, 2026
• ·BSE fine notice also received on February 27, 2026, and intimated same day

03-03-2026

Mangalore Refinery and Petrochemicals Limited's Board approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 face value (40%) for FY 2025-26, with Record Date fixed as March 11, 2026, and payment to eligible shareholders on or before April 02, 2026. The Board also recommended the appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five years from FY 2026-27 to FY 2030-31, subject to shareholder approval.

• ·Board meeting held on March 03, 2026, commenced at 16:00 hrs and concluded at 17:40 hrs.
• ·Secretarial Auditor firm details: COP/Registration No. 14984/2015 UP440500, office at 121 Vinayak Apartments, C-58/19, Sector-62, Noida-201307.
• ·ISIN for equity shares: INE103A01014

03-03-2026

Mangalore Refinery and Petrochemicals Limited's Board approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 each (40% payout) for FY 2025-26, with record date March 11, 2026, and payment on or before April 02, 2026. The Board also recommended appointing M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five consecutive years from FY 2026-27 to FY 2030-31, subject to shareholder approval at the ensuing AGM. No declines or flat metrics reported.

• ·Board meeting held on March 3, 2026, from 16:00 hrs to 17:40 hrs
• ·Secretarial Auditor COP/Registration No: 14984/2015 UP440500
• ·Reference intimation letter dated February 24, 2026

03-03-2026

Mangalore Refinery and Petrochemicals Limited's Board approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 each (40%) for FY 2025-26, with record date on March 11, 2026, and payment on or before April 2, 2026. The Board recommended appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five consecutive years from FY 2026-27 to FY 2030-31, subject to shareholder approval at the ensuing AGM.

• ·Board meeting held on March 3, 2026, commencing at 16:00 hrs and concluding at 17:40 hrs.
• ·Secretarial Auditor firm details: COP/Registration No. 14984/2015 UP440500, office at 121 Vinayak Apartments, C-58/19, Sector-62, Noida-201307.

03-03-2026

Mangalore Refinery and Petrochemicals Limited (MRPL) Board, at its meeting on March 03, 2026, approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 face value (40% payout) for FY 2025-26, with record date fixed as March 11, 2026, and payment to eligible shareholders on or before April 02, 2026. The Board also recommended the appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five years from FY 2026-27 to FY 2030-31, subject to shareholder approval.

• ·Board meeting timings: 16:00 hrs to 17:40 hrs on March 03, 2026
• ·Secretarial Auditor firm details: COP/Registration No. I14984, Address: 121, Vinayak Apartments, C-58/19, Sector-62, Noida-201307, UP
• ·Auditor experience: Over 40 years, previously ED & Company Secretary at ONGC and Head Legal at BHEL

03-03-2026

The Board of Directors of Mangalore Refinery and Petrochemicals Limited, a subsidiary of Oil and Natural Gas Corporation Limited, approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 each (40%) for FY 2025-26, with the record date fixed as March 11, 2026, and payment to eligible shareholders on or before April 02, 2026. The Board also recommended the appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five consecutive years from FY 2026-27 to FY 2030-31, subject to shareholder approval at the ensuing Annual General Meeting.

• ·Board meeting held on March 03, 2026, commencing at 16:00 hrs and concluding at 17:40 hrs.
• ·Record Date for dividend: Wednesday, March 11, 2026.
• ·Secretarial Auditor details: COP/Registration No. 14984/2015; Address: 121, Vinayak Apartments, C-58/19, Sector-62, Noida-201307, UP.

03-03-2026

The Board of Directors of Mangalore Refinery and Petrochemicals Limited approved an interim dividend of ₹4 per fully paid-up equity share of ₹10 face value (40%) for FY 2025-26, with a record date of March 11, 2026, and payment on or before April 02, 2026. The Board also recommended the appointment of M/s Kumar Naresh Sinha & Associates as Secretarial Auditor for five consecutive years from FY 2026-27 to FY 2030-31, subject to shareholder approval.

• ·Board meeting held on March 03, 2026, commenced at 16:00 hrs and concluded at 17:40 hrs.
• ·Secretarial Auditor firm details: COP/Registration No. 14984/2015, Address: 121, Vinayak Apartments, C-58/19, Sector-62, Noida-201307, UP.
• ·Auditor has over 40 years of experience, previously ED & Company Secretary at ONGC Limited and Head Legal at BHEL.

03-03-2026

Tidal Trust III submitted a Rule 497(j) certification confirming no changes to the prospectus and Statement of Additional Information for the Fundstrat Granny Shots US Large Cap ETF since the most recent Post-Effective Amendment No. 174, effective February 27, 2026, and filed February 25, 2026. The filing, dated March 3, 2026, ensures continuity in definitive materials without any updates or revisions.

• ·File Nos. 333-221764, 811-23312
• ·Contact: (262) 226-4032 or jmassey@tidalfg.com

03-03-2026

Neuberger Berman has filed a summary prospectus for its new Neuberger International Core Equity ETF, seeking long-term growth through investments primarily in developed market equities outside the U.S., with at least 80% of net assets in equity securities. The fund's total annual operating expenses are 0.87%, reduced to 0.29% after contractual fee waivers by the Manager until August 31, 2029. As a new fund, it has no operating history or portfolio turnover data, and investors face various risks including currency, ETF-specific, and international market risks.

• ·Prospectus and SAI dated February 21, 2026.
• ·Fee waiver/reimbursement contract until 8/31/2029; repayments possible within three years if expenses remain under cap.
• ·Expense example assumes 5% hypothetical return: $30 for 1 year, $93 for 3 years on $10,000 investment.
• ·Fund provides 60 days’ notice for changes to 80% equity policy.

03-03-2026

Premium Capital Market and Investment Limited intimated the reclassification of 81 promoters/promoter group members to the public category pursuant to the completion of an open offer by Mr. Suman Nandi, who has taken control of the company effective March 03, 2026. The open offer, detailed in the Letter of Offer dated January 09, 2026, opened on January 16, 2026, and closed on January 30, 2026. The reclassified individuals hold negligible stakes overall, with the largest being Prem Neema at 38,300 shares (0.58%), and many holding zero shares.

• ·Reclassified promoters confirm they hold <10% voting rights, no control, no special rights, no board representation for 3 years, not willful defaulters or fugitive offenders.
• ·Company compliant with minimum public shareholding (Reg 38), no trading suspension, no outstanding dues to SEBI/stock exchanges/depositories.
• ·Mr. Suman Nandi along with PACs classified as new Promoters post-open offer.

03-03-2026

Premium Capital Market and Investment Limited has notified the reclassification of 81 promoter/promoter group members to the public category following the completion of an open offer by Mr. Suman Nandi, who assumed control of the company on March 03, 2026. The reclassified individuals hold minimal stakes totaling less than 10% of voting rights, with the largest holding by Prem Neema at 38,300 shares (0.58%) and most others at 0.00-0.04%. The company confirms full regulatory compliance, including minimum public shareholding norms and no special rights or board representation for reclassified persons for three years.

• ·Open Offer opened on January 16, 2026 and closed on January 30, 2026.
• ·Letter of Offer dated January 09, 2026.
• ·Reclassified promoters confirm no control, no special rights, no board representation for 3 years, not willful defaulters or fugitive offenders.
• ·Company compliant with minimum public shareholding, no trading suspension, no outstanding dues to SEBI/stock exchanges/depositories.

03-03-2026

Tidal Trust II filed a Rule 497(j) certification stating that the prospectuses and Statements of Additional Information for its YieldMax ETFs, including YieldMax® MSTR Option Income Strategy ETF, YieldMax® Short N100 Option Income Strategy ETF, YieldMax® Ultra Option Income Strategy ETF, YieldMax® Ultra Short Option Income Strategy ETF, and YieldMax® Bitcoin Option Income Strategy ETF, have not materially changed from those in Post-Effective Amendment No. 541 to its Form N-1A registration statement, effective February 27, 2026, and filed February 24, 2026. The filing confirms no updates are required under Rule 497(b) or (c). No financial performance data or period comparisons are provided.

• ·File Nos. 333-264478, 811-23793
• ·Contact: John Hadermayer at (262) 318-8236 or jhadermayer@tidalfg.com

03-03-2026

Premium Capital Market and Investments Limited has filed an application dated March 03, 2026 with BSE Limited for reclassification of Promoter(s)/Promoter Group from 'Promoter/Promoter Group' to 'Public' category under Regulation 31A(10) of SEBI (LODR) Regulations, 2015, pursuant to the open offer by Mr. Suman Nandi. The open offer for acquisition of shares in the Target Company opened on January 16, 2026 and closed on January 30, 2026. The company confirms full compliance with Regulation 31A conditions.

• ·Security ID: PREMCAPM, Security Code: 511660
• ·CIN: L67120MP1992PLC007178
• ·DIN: 09630474 (Manisha Sudip Bhattacharya)

03-03-2026

iShares Trust submitted a Rule 497(j) certification confirming that the Prospectus and Statement of Additional Information for the iShares iBonds Dec 2034 Term Muni Bond ETF, dated March 2, 2026, are identical to those in Post-Effective Amendment No. 2,882 filed electronically on the same date. The certification was signed by Allison L. Pristash, Assistant Secretary. No financial data, changes, or performance metrics were disclosed.

• ·Securities Act File No. 333-92935
• ·Investment Company Act File No. 811-09729
• ·Post-Effective Amendment No. 2,882 filed March 2, 2026

03-03-2026

Tidal Trust II filed a Rule 497(j) certification stating no changes to the prospectus and Statement of Additional Information for its series, Nicholas Fixed Income Alternative ETF (FIAX) and Nicholas Global Equity and Income ETF (GIAX), compared to the most recent post-effective amendment No. 537 effective February 27, 2026, and filed February 23, 2026. The filing ensures compliance with SEC requirements under the 1933 Act. Contact provided is John Hadermayer, SVP of Legal Services at Tidal Investments LLC.

• ·File Nos.: 333-264478, 811-23793
• ·Post-Effective Amendment No. 537 filed February 23, 2026, effective February 27, 2026

03-03-2026

Tidal Trust II submitted a Rule 497(j) certification stating that the prospectuses and Statements of Additional Information for 24 YieldMax Option Income Strategy ETFs have not changed from those in Post-Effective Amendment No. 540 to its Form N-1A registration statement, filed February 24, 2026, and effective February 27, 2026. The filing covers ETFs linked to underlying assets like BABA, CVNA, DKNG, and others, including short and fund-of-fund strategies. No material updates or changes were reported.

• ·Trust File Nos. 333-264478, 811-23793
• ·Contact: John Hadermayer at (262) 318-8236 or jhadermayer@tidalfg.com

03-03-2026

Harding, Loevner Funds, Inc. filed a Rule 497(j) certification on March 3, 2026, confirming that the Statutory Prospectuses and Statement of Additional Information do not differ from those in Post-Effective Amendment No. 80 to its Form N-1A registration statement, filed electronically on February 27, 2026. This is a routine procedural filing with no new financial or operational disclosures. No material changes or performance metrics were reported.

• ·1933 Act Registration No. 333-09341
• ·1940 Act Registration No. 811-07739
• ·Post-Effective Amendment No. 80 filed February 27, 2026

03-03-2026

First Trust Portfolios L.P., as Depositor for FT 12789 (CIK 0002096894, File No. 333-292747), filed a Rule 497(j) definitive letter certifying that Amendment No. 1 to the Form S-6 registration statement, filed on February 27, 2026, does not differ from what would be filed under Rule 497(b). The filing became effective on March 3, 2026. This is a routine procedural certification with no financial metrics or material updates disclosed.

• ·Amendment No. 1 filed electronically on February 27, 2026
• ·SEC File Number: 333-292747
• ·CIK No.: 0002096894

03-03-2026

First Trust Portfolios L.P., acting as Depositor for FT 12788 (CIK 0002096893, File No. 333-292745), submitted a Rule 497(j) certification letter on March 3, 2026, confirming that Amendment No. 1 to the Form S-6 registration statement, filed electronically on February 27, 2026, does not differ from the version required under Rule 497(b). This is a standard procedural filing with no financial data, performance metrics, or material updates disclosed.

• ·SEC File Number: 333-292745
• ·CIK No.: 0002096893
• ·Fiscal Year End: December 31
• ·State of Incorporation: IL

03-03-2026

First Trust Portfolios L.P., acting as Depositor for FT 12790 (CIK 0002096907, File No. 333-292746), submitted a Rule 497(j) definitive letter on March 3, 2026, certifying that Amendment No. 1 to the Form S-6 Registration Statement, filed February 27, 2026, does not differ from the version required under Rule 497(b). This is a standard procedural certification with no financial metrics or performance data disclosed.

• ·SEC File Number: 333-292746
• ·CIK No.: 0002096907
• ·Fiscal Year End: December 31
• ·State of Incorporation: IL

03-03-2026

Legg Mason Partners Investment Trust filed a Form 497J certification stating that the prospectuses and Statements of Additional Information for multiple ClearBridge funds (including ClearBridge Mid Cap Fund, ClearBridge Tactical Dividend Income Fund, ClearBridge International Value Fund, and others) and Franklin Global Equity Fund in Post-Effective Amendment No. 525 have not changed from prior versions. The amendment was filed on February 24, 2026, and became effective on March 1, 2026. This is a routine regulatory confirmation with no material updates to fund documents.

• ·Post-Effective Amendment No. 525 to Registration Statement on Form N-1A (File Nos. 33-43446 and 811-06444)

03-03-2026

Churchill Asset Management LLC, an indirect subsidiary of TIAA with $47.1B in regulatory assets under management as of December 31, 2024, filed Amendment No. 2 to its application under Sections 6(b) and 6(e) of the 1940 Act seeking broad exemptions for Partnerships structured as employees’ securities companies for Eligible Employees and Qualified Participants. The Partnerships are designed to offer competitive investment opportunities to aid recruitment and retention of professionals, with Interests offered exempt from 1933 Act registration and limited to accredited investors (up to 35 Non-Accredited Investors per Partnership). No financial performance metrics or period comparisons are provided in the filing.

• ·Non-Accredited Investors must have graduate degree in business/law/accounting, 5+ years relevant experience, $100K income in each of prior two years, and expected $140K income.
• ·Partnerships may co-invest with Third Party Funds or serve as master funds.
• ·Applicant contact: 375 Park Avenue, 9th Floor, New York, NY 10152.

03-03-2026

VANECK ETF TRUST filed Post-Effective Amendment No. 2,931 under the 1933 Act and No. 2,935 under the 1940 Act on March 3, 2026, to delay the effectiveness of its prior Post-Effective Amendment No. 2,919/2,923 (filed December 19, 2025) until March 20, 2026. The filing incorporates Parts A, B, and C of the prior amendment by reference and was signed by Laura I. Martinez on behalf of the trust and various trustees. This is a procedural update with no financial data or performance metrics disclosed.

• ·1933 Act File No. 333-123257
• ·1940 Act File No. 811-10325
• ·Registrant’s principal offices: 666 Third Avenue, 9th Floor, New York, New York 10017
• ·Registrant’s telephone: (212) 293-2000

03-03-2026

BlackRock Funds filed a Summary Prospectus dated February 27, 2026, for the BlackRock China A Opportunities Fund Class K (CHKLX), which seeks to maximize total return by investing at least 80% of assets in China A-shares and related derivatives, tracking characteristics of the MSCI China A Onshore Index. Gross annual operating expenses are 2.85% (management fee 0.75%, other expenses 2.10%), reduced to 0.94% after contractual waivers/reimbursements through June 30, 2027; however, portfolio turnover was high at 215% in the most recent fiscal year, potentially increasing transaction costs and taxes. The prospectus emphasizes substantial China-specific risks, including political instability, trade wars, capital controls, and delisting threats.

• ·Fee waiver agreements for management fees on investments in other BlackRock funds/ETFs and money market funds through June 30, 2027
• ·Expense limitation excludes Dividend Expense, Interest Expense, Acquired Fund Fees and Expenses
• ·Fund may invest via A-shares on Shanghai Stock Exchange (SSE) and Shenzhen Stock Exchange (SZSE), subject to Daily Quota limits under Stock Connect

03-03-2026

BlackRock ETF Trust filed a Summary Prospectus dated February 27, 2026, for the iShares Managed Futures Active ETF (ISMF), a non-diversified actively-managed ETF seeking to maximize total return via a proprietary managed futures trend strategy investing at least 80% of net assets in futures and related derivatives across equities, fixed income, currencies, and commodities. Annual Fund Operating Expenses total 0.82% but are reduced to 0.80% after BFA's contractual fee waiver covering Acquired Fund Fees and Expenses through June 30, 2027; portfolio turnover was flat at 0% from inception on March 12, 2025, to October 31, 2025. The Fund employs long and short positions, collateral in money market instruments (at least 75% of assets), and up to 25% in its Cayman Subsidiary for commodity exposure.

• ·SEC filing effective date: March 03, 2026
• ·Fund inception date: March 12, 2025
• ·Fee waiver termination possible with 90 days' notice or majority vote
• ·Hypothetical expense example costs: 1 Year $82; 3 Years $260; 5 Years $453; 10 Years $1,012 (assuming 5% annual return on $10,000 investment)

03-03-2026

VANECK ETF TRUST filed Post-Effective Amendment No. 2,930 to its Securities Act of 1933 registration statement (File No. 333-123257) and No. 2,934 to its Investment Company Act of 1940 registration statement (File No. 811-10325) on March 3, 2026, to delay the effectiveness of the prior Post-Effective Amendment No. 2,918/2,922 (filed December 19, 2025) until March 20, 2026. The filing incorporates Parts A, B, and C of the prior amendment by reference and designates a new effective date under Rule 485(b). No financial metrics or performance data are disclosed in this amendment.

• ·Registrant’s Principal Executive Offices: 666 Third Avenue, 9th Floor, New York, New York 10017
• ·Registrant’s Telephone Number: (212) 293-2000
• ·Approximate Date of Proposed Public Offering: As soon as practicable after the effective date of this registration statement

03-03-2026

BlackRock Funds filed a Summary Prospectus (Form 497K) on March 03, 2026, for its BlackRock China A Opportunities Fund Institutional Shares (CHILX), dated February 27, 2026, outlining an investment objective to maximize total return through at least 80% investment in China A-shares and related derivatives, primarily tracking the MSCI China A Onshore Index. Annual operating expenses total 2.87% before waivers, reduced to 0.99% after contractual waivers/reimbursements through June 30, 2027; portfolio turnover was 215% in the most recent fiscal year, signaling high transaction costs not reflected in expenses.

• ·Fund invests primarily in A-shares on Shanghai Stock Exchange (SSE) and Shenzhen Stock Exchange (SZSE), quoted in RMB, subject to daily quota limits via Stock Connect.
• ·Contractual fee waivers may be terminated with 90 days' notice by non-interested trustees or majority vote of outstanding voting securities.
• ·Principal risks include China-specific economic/political instability, trade wars, capital controls, infectious illnesses, and regulatory differences.

03-03-2026

Legg Mason Global Asset Management Trust filed Form 497J on March 3, 2026, certifying under Rule 497(j) that prospectuses and Statements of Additional Information for BrandywineGLOBAL – Multi-Sector Opportunities Fund, ClearBridge Value Fund, ClearBridge Small Cap Fund, and ClearBridge International Growth Fund match those in Post-Effective Amendment No. 232 to its Form N-1A registration statement. The amendment was filed on February 24, 2026, and became effective on March 1, 2026. No material changes to the prospectuses were noted.

03-03-2026

Managed Portfolio Series and Leuthold Weeden Capital Management filed a 40-APP with the SEC on March 3, 2026, seeking an exemptive order under the Investment Company Act of 1940 to permit Multi-Class ETF Funds offering both ETF Shares (exchange-traded) and Mutual Fund Shares (non-exchange-traded). The application requests ETF Operational Relief aligned with Rule 6c-11 for standard ETF operations and ETF Class Relief to enable multi-class structures, addressing SEC concerns on potential cross-subsidization between classes. No financial metrics or performance data are disclosed in the filing.

03-03-2026

ETF Series Solutions filed a Post-Effective Amendment No. 1112 (Form 485BXT) on March 3, 2026, to designate March 10, 2026, as the new effective date for the previously filed Post-Effective Amendment No. 1046 (dated October 23, 2025). This amendment pertains to the registration of multiple new leveraged ETFs under the Defiance brand, each seeking daily target 3X long exposure to specific stocks including META, ASTS, ORCL, UNH, INTC, MARA, OKLO, QUBT, JOBY, OPEN, APLD, IONQ, QBTS, RGTI, RKLB, TEM, SOFI, GEMI, NBIS, and BULL. No financial performance data or period-over-period comparisons are provided in the filing.

• ·SEC File Numbers: 1933 Act 333-179562, 1940 Act 811-22668
• ·Registrant address: 615 East Michigan Street, Milwaukee, Wisconsin 53202
• ·Previous amendment filed: October 23, 2025

03-03-2026

ETF Series Solutions filed Post-Effective Amendment No. 1111 to its Registration Statement on Form N-1A on March 3, 2026, designating March 10, 2026, as the new effective date for previously filed Post-Effective Amendment No. 1042 (dated October 3, 2025) under Rule 485(b)(1)(iii). This amendment pertains to the registration of numerous new series, including Defiance Daily Target 3X Long and Short ETFs targeting assets such as NVDA, TSLA, PLTR, BTC, ETH, and others. No financial performance metrics, period-over-period comparisons, or monetary amounts are disclosed in the filing.

• ·SEC File Numbers: 1933 Act 333-179562, 1940 Act 811-22668
• ·Previous Post-Effective Amendment No. 1042 filed October 3, 2025

03-03-2026

Tidal Trust II filed Post-Effective Amendment No. 548 to its registration statement to add a new series, the Defiance Daily Target 2X Short [Discord] ETF, which seeks daily inverse investment results of -200% the performance of Discord, Inc. common stock, intended solely as a short-term trading vehicle for sophisticated investors. The fund emphasizes high risks, including potential total loss of principal if the underlying security rises more than 50% in a single day, and is not suitable for long-term holding or passive investors due to compounding effects and volatility drag. No operating history or performance data is available as the fund is newly organized.

• ·Filing date: March 03, 2026
• ·Proposed effective date: 75 days after filing
• ·SEC File Numbers: 1933 Act 333-264478; 1940 Act 811-23793
• ·Post-Effective Amendment No. 548 (1933 Act) / Amendment No. 551 (1940 Act)
• ·Fund uses swaps and listed options for -2x daily inverse exposure to Discord, Inc. ([Exchange]: [Ticker])
• ·Portfolio turnover information not available as fund is newly organized

03-03-2026

JPMorgan Trust I filed a Form 497J certification on March 3, 2026, confirming that the prospectuses and Statements of Additional Information for six J.P. Morgan International Equity Funds (including JPMorgan Emerging Markets Equity Fund, JPMorgan International Equity Fund, and others) remain unchanged from those in Post-Effective Amendment No. 692 filed on February 25, 2026. No material updates, financial data, or changes were reported.

• ·SEC File Nos.: 333-103022 and 811-21295
• ·Post-Effective Amendment No. 692 (Amendment No. 693 under Investment Company Act) filed February 25, 2026

03-03-2026

JPMorgan Trust IV filed a Post-Effective Amendment No. 156 to its Form N-1A registration statement under the Securities Act of 1933 and Amendment No. 157 under the Investment Company Act of 1940, incorporating by reference materials from a prior filing on December 19, 2025. The amendment designates a new effective date of April 3, 2026, for the JPMorgan OnChain Liquidity-Token Money Market Fund (Token Class). No financial performance data or period comparisons are provided in the filing.

• ·Filed on March 3, 2026 (Securities Act File No. 333-208312; Investment Company Act File No. 811-23117)
• ·Incorporates prospectus, SAI, and Part C from Post-Effective Amendment No. 152 filed December 19, 2025 (Accession No. 0001193125-25-325413)
• ·Signed by multiple trustees including Stephen P. Fisher, Gary L. French, and others via Attorney-in-Fact Erika K. Messbarger

03-03-2026

JPMorgan Trust I filed a Form 497J certification on March 3, 2026, confirming that the prospectuses and Statements of Additional Information for specified funds do not differ from those in Post-Effective Amendment No. 691 filed on February 24, 2026. The certification covers JPMorgan Tax Aware Real Return Fund, JPMorgan Research Market Neutral Fund, JPMorgan Income Builder Fund, and JPMorgan Global Allocation Fund. No material changes or performance data were reported.

• ·Post-Effective Amendment No. 691 (Amendment No. 692 under Investment Company Act) filed February 24, 2026
• ·File Nos. 333-103022 and 811-21295

03-03-2026

JPMorgan Trust IV submitted a Rule 497(j) certification on March 3, 2026, stating that the prospectuses and Statements of Additional Information for the JPMorgan SmartRetirement 2070 Fund and JPMorgan SmartRetirement Blend 2070 Fund do not differ from those filed in Post-Effective Amendment No. 153 on February 25, 2026. The certification covers multiple share classes of these funds, including Class R6 (JAKBX), Class C (JAJSX), and others. No financial performance data, changes, or metrics are disclosed in the filing.

• ·Fund share classes include: JAKBX (R6), JAJSX (C), JAJTX (I), JAJUX (R2), JAJVX (R3), JAJYX (R4), JAJKX (A), JAJZX (R5) for SmartRetirement 2070 Fund; JAKDX (I), JAKHX (R5), JAKJX (R6), JAKEX (R2), JAKFX (R3), JAKGX (R4) for Blend 2070 Fund.
• ·SEC File Nos.: 333-208312 and 811-23117.

03-03-2026

Professionally Managed Portfolios submitted a Rule 497(j) filing certifying that the prospectuses and Statements of Additional Information for six Congress funds—Large Cap Growth Fund, Mid Cap Growth Fund, Small Cap Growth Fund, Large Cap Growth ETF, SMid Growth ETF, and Intermediate Bond ETF—have not changed from those in Post-Effective Amendment No. 903 to the Trust’s Registration Statement on Form N-1A, dated February 28, 2026, and filed February 27, 2026. The certification was filed via EDGAR on March 3, 2026, by Elaine E. Richards, Secretary and Vice President. No substantive updates or performance data were disclosed.

• ·Trust File Nos.: 33-12213 and 811-05037
• ·Post-Effective Amendment No. 903 filed February 27, 2026
• ·Contact phone: (626) 914-7363

03-03-2026

Deutsche DWS International Fund, Inc. submitted a Rule 497(j) filing on March 3, 2026, certifying that the prospectus and Statement of Additional Information for DWS Emerging Markets Equity Fund, DWS Latin America Equity Fund, and DWS Global Macro Fund match those in Post-Effective Amendment No. 200 to its Form N-1A registration statement, filed February 26, 2026. The certification confirms no differences from the amendment, with effectiveness on March 3, 2026. No financial metrics, changes, or performance data were disclosed.

• ·Registration Nos. 002-14400; 811-00642
• ·Post-Effective Amendment No. 200 filed February 26, 2026
• ·Fiscal year end: March 31

03-03-2026

Professionally Managed Portfolios filed a Rule 497(j) certification on behalf of Becker Equity Fund, confirming that the forms of Prospectus and Statement of Additional Information have not changed from those in Post-Effective Amendment No. 902 to the Trust’s Registration Statement on Form N-1A, dated February 28, 2026, and filed electronically on February 26, 2026. The filing references File Nos. 33-12213 and 811-05037. No material updates or changes to fund documents were indicated.

• ·File Nos.: 33-12213 and 811-05037
• ·Becker Equity Fund identifier: S000037988
• ·Contact: elaine.richards@usbank.com or (626) 914-7363

03-03-2026

Deutsche DWS Market Trust submitted a Rule 497(j) certification confirming that the prospectus and Statement of Additional Information for DWS Global Income Builder Fund, as included in Post-Effective Amendment No. 173 to its Form N-1A registration statement (filed February 25, 2026), have not changed. The amendment relates to the Fund's registration (Nos. 002-21789; 811-01236) and became effective March 3, 2026. No financial performance data, metrics, or material changes are disclosed in this filing.

• ·SEC File Number: 002-21789
• ·Post-Effective Amendment No. 173 filed electronically on February 25, 2026
• ·Contact: (617) 295-2564

03-03-2026

Deutsche DWS Global/International Fund, Inc. filed a Rule 497(j) certification on March 3, 2026, confirming that the prospectus and Statement of Additional Information for DWS Emerging Markets Fixed Income Fund and DWS Global Small Cap Fund in Post-Effective Amendment No. 198 (filed February 26, 2026) have not changed from prior versions. This administrative filing ensures compliance with SEC requirements for the funds' registration statement (Reg. Nos. 033-05724; 811-04670). No substantive updates, financial data, or performance metrics were disclosed.

• ·Post-Effective Amendment No. 198 filed electronically on February 26, 2026.
• ·SEC File Number: 033-05724.

03-03-2026

Vanguard STAR Funds submitted a Rule 497(j) certification on March 3, 2026, stating that its Prospectus and Statement of Additional Information remain unchanged from the most recent post-effective amendment filed electronically. The filing references multiple funds under the Trust, including Vanguard LifeStrategy Conservative Growth Fund (VSCGX), Growth Fund (VASGX), Income Fund (VASIX), Moderate Growth Fund (VSMGX), STAR Fund (VGSTX), and Total International Stock Index Fund (VGTSX and variants). The certification was signed by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc.

• ·SEC File Number: 002-88373
• ·Fiscal Year End: October 31
• ·Effectiveness Date: March 3, 2026

03-03-2026

Deutsche DWS Securities Trust submitted a Rule 497(j) certification confirming that the prospectus and Statement of Additional Information for the DWS Science and Technology Fund match those in Post-Effective Amendment No. 217 to its Form N-1A Registration Statement, filed electronically on February 26, 2026, with effectiveness on March 3, 2026. The filing includes details on fund share classes: Institutional Class (KTCIX), Class A (KTCAX), Class C (KTCCX), and Class S (KTCSX). No material changes to disclosures were noted.

• ·Registration Nos. 002-36238; 811-02021
• ·Fiscal year end: June 30
• ·Contact phone: (617) 295-3011

03-03-2026

Vanguard International Equity Index Funds filed a Rule 497(j) certification on March 3, 2026, confirming that its Prospectus and Statement of Additional Information have not changed from the most recent post-effective amendment (File No. 33-32548). The certification was signed by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc. No material updates, financial data, or changes were reported.

• ·SEC File Number: 33-32548
• ·Effectiveness Date: March 3, 2026
• ·State of Incorporation: DE
• ·Fiscal Year End: October 31

03-03-2026

Vanguard Municipal Bond Funds submitted a Rule 497(j) certification letter on March 3, 2026, confirming that its Prospectuses and Statement of Additional Information do not differ from those in the most recent post-effective amendment filed electronically. The letter is signed by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc. This is a routine compliance filing with no indications of material changes.

• ·File No. 2-57689 for the Trust
• ·Submitted to U.S. Securities and Exchange Commission at 100 F Street, N.E., Washington, DC 20549

03-03-2026

Vanguard Windsor II Fund issued a summary prospectus dated February 27, 2026 (supplemented March 3, 2026), featuring low total annual operating expenses of 0.33% for Investor Shares (VWNFX) and 0.24% for Admiral Shares (VWNAX), with a portfolio turnover rate of 22%. The fund delivered strong average annual returns before taxes as of December 31, 2025, outperforming the Russell 1000 Value Index across 1-year (18.56% vs. 15.91%), 5-year (12.89% vs. 11.33%), and 10-year (12.61% vs. 10.53%) periods; however, it underperformed the Dow Jones U.S. Total Stock Market Float Adjusted Index over 5 years (12.89% vs. 13.07%) and 10 years (12.61% vs. 14.21%). Historical quarterly returns showed volatility, with a high of 19.59% (Q2 2020) and a low of -24.69% (Q1 2020).

• ·Management fee: 0.32% Investor Shares, 0.24% Admiral Shares
• ·No sales charges, purchase fees, redemption fees, or 12b-1 fees
• ·Fund may invest up to 30% in foreign securities
• ·Minimum additional investment: $1
• ·New co-managers from Harris Associates added in December 2025

03-03-2026

Vanguard Whitehall Funds submitted a Form 497J filing on March 3, 2026, via a cover letter certifying under Rule 497(j) that its Prospectus and Statement of Additional Information remain unchanged from the most recent post-effective amendment filed electronically. The certification was provided by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc., with no indications of material updates, additions, or alterations to the fund documents.

• ·SEC File Number: 33-64845
• ·Fiscal Year End: October 31
• ·State of Incorporation: Delaware

03-03-2026

Deutsche DWS Investment Trust filed Form 497J on March 3, 2026, certifying under Rule 497(j) that the prospectuses and Statements of Additional Information for DWS CROCI Equity Dividend Fund and DWS Enhanced Core Equity Fund have not changed from those in Post-Effective Amendment No. 275 to its Form N-1A registration statement, filed February 25, 2026, and effective March 3, 2026. The filing was submitted by DWS Investment Management Americas, Inc., with Caroline Pearson as the contact. No material financial data, performance metrics, or changes were disclosed.

• ·Post-Effective Amendment No. 275 to Registration Statement (Reg. Nos. 002-13628; 811-00043) filed electronically on February 25, 2026

03-03-2026

Vanguard Windsor Fund issued a summary prospectus dated February 27, 2026 (supplemented March 3, 2026), outlining total annual operating expenses of 0.29% for Investor Shares (VWNDX) and 0.18% for Admiral Shares (VWNEX), with a portfolio turnover rate of 45%. As of December 31, 2025, Investor Shares delivered 13.31% 1-year return (underperforming Russell 1000 Value Index at 15.91% and Dow Jones U.S. Total Stock Market at 17.05%), beat the Russell over 5 years (12.16% vs. 11.33%) and 10 years (11.30% vs. 10.53%), but trailed the Dow Jones across all periods. The fund focuses on undervalued large- and mid-cap value stocks, with up to 30% in foreign securities.

• ·Minimum additional investment to existing account: $1
• ·Account service fee applies to certain fund account balances below $5M
• ·Admiral Shares 1-year return before taxes: 13.42% (Dec 31, 2025)

03-03-2026

Vanguard Trustees' Equity Fund filed a Rule 497(j) certification on March 3, 2026, confirming that its Prospectus and Statement of Additional Information remain unchanged from the most recent post-effective amendment (SEC file number 002-65955-99). The certification was signed by Kerry K. Bender, Assistant General Counsel at The Vanguard Group, Inc., with a copy to Lisa N. Larkin at the SEC. No material changes or financial data were disclosed.

• ·Fiscal year end: October 31
• ·State of incorporation: DE
• ·EIN: 232120820
• ·SEC File Number: 002-65955-99

03-03-2026

Themes ETF Trust filed a Rule 497(j) certification on March 3, 2026, stating that the prospectuses and Statements of Additional Information for 29 listed ETF series, including Leverage Shares 2X Long NVDA Daily ETF and others, would not differ from those in Post-Effective Amendment No. 135 filed on February 27, 2026. This filing confirms no material changes to the disclosure documents. No financial performance data or period comparisons are provided.

• ·File Nos. 811-23872 and 333-271700
• ·Post-Effective Amendment No. 135 filed February 27, 2026

03-03-2026

Harbor Funds II filed a Rule 497(j) certification on March 3, 2026, confirming that the Statement of Additional Information in its Post-Effective Amendment No. 3 to Form N-1A (1933 Act No. 333-274946; 1940 Act No. 811-23907) matches the version filed via EDGAR on February 25, 2026 (Accession No. 0001193125-26-072320), with an effective date of March 1, 2026. This is a procedural filing with no financial metrics or performance data reported. Signed by Meredyth A. Whitford-Schultz, Secretary.

• ·1933 Act Registration No. 333-274946
• ·1940 Act Registration No. 811-23907
• ·Amendment Accession No. 0001193125-26-072320
• ·Contact: (312) 443-4635

03-03-2026

Harbor ETF Trust filed a Rule 497(j) certification for Post-Effective Amendment No. 85 to its Form N-1A registration statement (1933 Act No. 333-255884; 1940 Act No. 811-23661), confirming that the prospectus and Statement of Additional Information match the amendment filed via EDGAR on February 26, 2026 (Accession No. 0001193125-26-077937), effective March 1, 2026. This is a routine compliance filing with no financial data, performance metrics, or material changes disclosed.

• ·Amendment Accession No.: 0001193125-26-077937
• ·Contact: (312) 443-4635
• ·Address: Harbor ETF Trust, P.O. Box 804660, Chicago, Illinois 60680-4108

03-03-2026

Harbor Funds filed a Rule 497(j) certification confirming that the prospectus and Statement of Additional Information in Post-Effective Amendment No. 176 to its Form N-1A registration statement (1933 Act No. 33-5852; 1940 Act No. 811-4676) match the versions filed via EDGAR on February 25, 2026, with an effective date of March 1, 2026. This procedural filing ensures compliance but contains no financial data, performance metrics, or material updates. Signed by Meredyth A. Whitford-Schultz, Secretary.

• ·1933 Act Registration No. 33-5852
• ·1940 Act Registration No. 811-4676
• ·EDGAR Accession No. 0001193125-26-072303

03-03-2026

FTP 3 (Vest 2-Year S&P 500 Deep Buffered 100 Portfolio, Series 2) launches as a unit investment trust on March 3, 2026, with initial net assets of $134,749, 13,475 units outstanding, and $10.00 NAV per unit. The trust seeks SPY upside participation up to a 12.44% cap before fees with a 100% downside buffer over the March 3, 2026 to March 3, 2028 outcome period (net caps 8.94% traditional brokerage/11.46% wrap fee after fees; buffers reduced by 3.10%/0.86%), but outcomes are not guaranteed and investors may lose principal, especially with early redemption. Fees include a 2.75% maximum sales charge ($0.283 per unit) and estimated 0.261% annual operating expenses.

• ·Outcome period: March 3, 2026 to March 3, 2028
• ·Initial evaluation time: 2:30 p.m. ET on March 3, 2026; subsequent at NYSE close
• ·First settlement date: March 4, 2026
• ·Cash CUSIP: 30343P 107; Fee Account CUSIP: 30343P 115; Ticker: FNJIEX
• ·Audited by Deloitte & Touche LLP

03-03-2026

Vanguard Charlotte Funds filed a Form 497J on March 3, 2026, certifying under Rule 497(j) that the Prospectus and Statement of Additional Information have not changed from the most recent post-effective amendment (File No. 333-177613). The certification pertains to funds including Vanguard Total International Bond Index Fund, Vanguard Global Credit Bond Fund, and Vanguard Total International Bond II Index Fund. The letter was signed by Kerry K. Bender, Assistant General Counsel of The Vanguard Group, Inc.

• ·Filed as of date, date as of change, and effectiveness date: all March 3, 2026
• ·SEC File Number: 333-177613

03-03-2026

BlackRock filed a Form 497K summary prospectus dated March 3, 2026, for the new iShares Broad USD Floating Rate Loan ETF (USLN), which seeks to track the Morningstar LSTA US Leveraged Loan Broad Select Index of U.S. dollar-denominated leveraged loans. Total annual fund operating expenses after fee waiver are 0.40%, including a 0.40% management fee offset by a 0.03% waiver on acquired fund fees through June 28, 2030. As a new fund, there is no reportable portfolio turnover, and it emphasizes risks such as leveraged loan illiquidity and high yield default potential.

• ·Underlying index requires at least 125 basis points spread above base rate (average of 1-month and 3-month CME Term SOFR).
• ·Loans must have at least 18 months to final maturity and BB+ or lower rating for inclusion; excludes defaulted, D-rated, non-rated, and PIK loans.
• ·Significant portion of index as of October 18, 2025, in consumer goods/services, industrials, and technology sectors.
• ·Fund uses representative sampling and may invest up to 20% in non-index instruments for liquidity.

03-03-2026

RMB Investors Trust and Curi Capital, LLC filed a second amended and restated application on March 3, 2026, seeking SEC exemptive relief under the Investment Company Act of 1940 to operate multi-class funds offering both ETF Shares (exchange-traded) and Mutual Fund Shares (non-exchange-traded). The relief covers ETF operational aspects consistent with Rule 6c-11 and additional permissions for multi-class structures, addressing concerns like costs, conflicts, and investor confusion through board oversight and conditions. No financial performance data or period comparisons are provided in the filing.

• ·Trust organized as statutory trust under Delaware law on August 20, 1998; surviving entity from reorganization of The Burnham Fund, Inc. (Maryland corporation operational since 1961) on April 30, 1999
• ·Curi Capital Holdings established in 2019
• ·Merger forming Curi RMB Capital, LLC on January 1, 2024; name changed to Curi Capital, LLC on July 1, 2025
• ·Application contains 26 pages; File No. 812-15851

03-03-2026

Themes ETF Trust submitted a Rule 497(j) certification to the SEC on March 3, 2026, confirming that the prospectuses and Statements of Additional Information for its series listed in Appendix A would not differ from those filed in Post-Effective Amendment No. 134 to its Form N-1A registration statement on February 27, 2026. The certification covers five Leverage Shares 2x Capped Accelerated Monthly ETFs tracking COIN, MSTR, NVDA, PLTR, and TSLA. No material changes or financial data were disclosed.

• ·Trust File Nos. 811-23872 and 333-271700
• ·Post-Effective Amendment No. 134 electronically filed February 27, 2026

03-03-2026

TCW Investment Management Company LLC filed a Rule 497(j) certification on behalf of TCW Funds, Inc. for Post-Effective Amendment No. 122 to its Form N-1A registration statement. The filing confirms that the Prospectus and Statement of Additional Information match the version electronically submitted via EDGAR on February 27, 2026 (Accession No. 0001193125-26-081516). No material financial data or changes are disclosed in this procedural certification.

• ·Registrant File Nos.: 033-52272 and 811-07170
• ·Amendment filed via EDGAR: February 27, 2026 (Accession No. 0001193125-26-081516)

03-03-2026

Advisors Series Trust filed a Rule 497(j) certification on March 3, 2026, confirming that the prospectuses and Statements of Additional Information for Huber Select Large Cap Value Fund, Huber Small Cap Value Fund, Huber Large Cap Value Fund, and Huber Mid Cap Value Fund have not changed from the most recent Post-Effective Amendment No. 1190 filed on February 27, 2026, effective February 28, 2026. This routine filing indicates no material updates to the fund disclosures. Signed by Elaine E. Richards, Vice President and Secretary.

• ·File Nos.: 333-17391 and 811-07959
• ·Contact: (626) 914-7363

03-03-2026

Commonwealth International Series Trust submitted a Rule 497(j) certification on March 3, 2026, confirming that its Prospectus and Statement of Additional Information remain unchanged from the Form N-1A update filed on February 26, 2026 (Accession No. 0001580642-26-001247). The filing was made on behalf of the Trust (File Nos. 33-06867 and 811-04665) by John H. Lively of Practus, LLP. No differences or material updates to the disclosure documents were reported.

• ·Trust File Nos.: 33-06867 and 811-04665
• ·Previous filing Accession No.: 0001580642-26-001247
• ·Contact: (913) 660-0778 or john.lively@practus.com

03-03-2026

The Summary Prospectus for PIN OAK EQUITY FUND (POGSX), dated February 28, 2026, details total annual operating expenses of 0.95% and a low portfolio turnover rate of 7% in the most recent fiscal year. Class I shares delivered strong 1-year average annual total returns of 27.45% as of December 31, 2025, outperforming the S&P Composite 1500 benchmark (17.02%), but underperformed over 5 years (11.90% vs. 13.96%) and 10 years (12.31% vs. 14.46%). The fund focuses on U.S. growth stocks across market caps, with portfolio managers Robert D. Stimpson and Jeffrey B. Travis since 2019.

• ·Minimum initial investment $2,000 ($1,000 with Automatic Investment Plan); additional investments $25 minimum.
• ·Fund policy: at least 80% of net assets in equity securities (changeable with 60 days' notice).
• ·Significant current allocation to technology sector as of prospectus date.

03-03-2026

The Live Oak Health Sciences Fund (LOGSX) summary prospectus dated February 28, 2026, reports strong 1-year Class I returns of 19.63% as of December 31, 2025, outperforming the S&P 500 Health Care Sector Index (14.60%) and S&P Composite 1500 (17.02%). However, 5-year returns of 8.13% slightly trailed the Health Care benchmark (8.21%), and 10-year returns of 7.30% significantly underperformed it (9.91%) and the broader Composite 1500 (14.46%). Annual operating expenses total 1.04%, with portfolio turnover at 24%.

• ·Minimum initial investment: $2,000 ($1,000 with Automatic Investment Plan); additional investments: $25 minimum.
• ·Fund policy: At least 80% of net assets in equity securities of health science companies; concentrates at least 25% in health science industry.
• ·After-tax returns lower: 1-Year after dist & sale 12.04%; 5-Year 6.28%; 10-Year 5.59%.

03-03-2026

The Summary Prospectus for Black Oak Emerging Technology Fund (BOGSX), dated February 28, 2026, details annual operating expenses of 1.05% (management fee 0.74%, other 0.31%) and a low portfolio turnover rate of 7% in the most recent fiscal year. For periods ended December 31, 2025, Class I shares delivered 1-year returns of 19.11% before taxes (outperforming S&P Composite 1500 at 17.02% but underperforming S&P 500 Equal Weight IT Index at 22.57%), 5-year returns of 7.14% (lagging both benchmarks at 13.47% and 13.96%), and 10-year returns of 14.09% (trailing IT benchmark at 18.79% but slightly ahead of broad index at 14.46%). The fund focuses on emerging technology stocks with at least 80% net assets policy, managed by Robert D. Stimpson since 2006 and Jeffrey B. Travis since 2019.

• ·Minimum initial investment $2,000 ($1,000 with Automatic Investment Plan); additional investments $25 minimum.
• ·Fund policy: at least 80% of net assets in equity securities of emerging technology companies (changeable with 60 days' notice).
• ·Invests primarily in U.S. common stocks of small to medium cap emerging tech companies, with limited foreign stocks, ADRs, equity REITs.

03-03-2026

BlackRock Liquidity Funds submitted a Rule 497(j) certification on March 3, 2026, attesting that the prospectuses and Statements of Additional Information for its series—TempCash, BlackRock Select Treasury Based Liquidity Fund, FedFund, T-Fund, Treasury Trust Fund, and MuniCash—have not changed from those in Post-Effective Amendment No. 157 to its Form N-1A registration statement, which was filed electronically on February 25, 2026. This filing confirms no material differences in disclosure documents, representing a routine regulatory compliance step without financial performance data or operational updates.

03-03-2026

The Summary Prospectus for ROCK OAK CORE GROWTH FUND (RCKSX), dated February 28, 2026, outlines its focus on long-term capital growth through mid-cap stocks ($15B-$50B market caps), with total annual expenses after fee waivers at 1.25% and low portfolio turnover of 12%. Performance as of December 31, 2025, shows strong 1-year returns of 13.02% outperforming the S&P MidCap 400 (7.50%) but underperforming the S&P Composite 1500 (17.02%); however, 5-year (6.25%) and 10-year (9.55%) returns lagged both benchmarks. The fund holds 25-40 stocks, managed by Robert D. Stimpson since 2004 and Jeffrey B. Travis since 2019.

• ·Contractual fee waiver by Oak Associates, ltd. limits expenses to 1.25% for one year from February 28, 2026, terminable only by Board approval.
• ·Fund may invest in equity REITs, foreign stocks, and ADRs to a lesser extent.
• ·Significant current allocation to industrials sector as of prospectus date.
• ·After-tax returns: 1Y 8.85%, 5Y 4.84%, 10Y 7.67% (highest federal marginal rates).

03-03-2026

SP Funds Trust filed Form 497J on March 3, 2026, certifying under Rule 497(j) that the forms of Prospectus and Statement of Additional Information dated February 27, 2026 (filed February 26, 2026) do not differ from those in the most recent registration statement. The certification covers multiple SP Funds ETFs and Target Date Funds, including SPTE, SPWO, SPTAX, SPTMX, SPTBX, SPTNX, SPTOX, and SPTCX. It was submitted by Deborah B. Eades of Vedder Price on behalf of the Registrant (Registration Nos. 333-274015 and 811-23893).

• ·Central Index Key: 0001989916
• ·SEC File Number: 333-274015
• ·Business Address: 1331 S. International Parkway, Suite 2291, Lake Mary, FL 32746
• ·Business Phone: 321-275-5125

03-03-2026

The River Oak Discovery Fund (RIVSX) summary prospectus dated February 28, 2026, details its focus on small-cap U.S. stocks for long-term growth, with total annual operating expenses of 1.23% and a low portfolio turnover of 9%. Performance as of December 31, 2025, shows Class I shares returning 9.11% over 1 year (outperforming S&P SmallCap 600's 6.02%) but underperforming over 5 years (5.56% vs. 7.31%) and slightly over 10 years (9.29% vs. 9.81%), while lagging the broader S&P Composite 1500 across all periods. The fund holds 30-40 stocks, primarily in technology and industrials, with a $15B market cap threshold for small caps.

• ·Minimum initial investment $1,000 with Automatic Investment Plan; additional investments at least $25.
• ·After-tax returns lower: 1Y 5.45%, 5Y 4.26%, 10Y 7.29%.
• ·Significant exposure to technology and industrials sectors as of prospectus date.

03-03-2026

Oak Associates Funds filed a Rule 497(j) certification on March 3, 2026, confirming that the Prospectus and Statement of Additional Information in Post-Effective Amendment No. 49 to its Form N-1A registration statement (filed February 27, 2026, SEC Accession No. 0001580642-26-001268) would not differ from those required under Rule 497(c). This is a routine administrative filing with no financial metrics or material changes reported.

• ·Post-Effective Amendment No. 49 filed via EDGAR on February 27, 2026 (SEC Accession No. 0001580642-26-001268)
• ·File Nos. 333-42115, 811-08549

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 137 to its Registration Statement on Form N-1A on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 76 (filed November 14, 2025) for the proposed Leverage Shares 2X Long GRAY Daily ETF until April 2, 2026. The filing incorporates Parts A and B from the prior amendment by reference and Part C from Post-Effective Amendment No. 135 filed on February 27, 2026. No financial data or performance metrics are disclosed.

• ·Registrant address: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830
• ·File Nos.: 333-271700 and 811-23872
• ·Agent for service: Jose C. Gonzalez at the registrant address
• ·Attorney: Karen Aspinall, Practus, LLP, Leawood, Kansas

03-03-2026

The Red Oak Technology Select Fund (ROGSX) Summary Prospectus dated February 28, 2026, details Class I total annual operating expenses of 0.90% and a low portfolio turnover rate of 4% in the most recent fiscal year. Performance as of December 31, 2025, shows strong results with 1-year return of 23.39% (outperforming S&P 500 Equal Weight IT Index at 22.57% and S&P Composite 1500 at 17.02%), 5-year at 14.40%, and 10-year at 18.62% (slightly underperforming tech benchmark at 18.79%), but highlights concentration risk in volatile technology sector stocks prone to rapid obsolescence and competition. Minimum initial investment is $2,000 ($1,000 with Automatic Investment Plan).

• ·Fund policy requires 60 days' notice to shareholders for changes to 80% technology sector investment policy.
• ·Adviser focuses on mid-to-large cap technology stocks with long-term horizon and minimal turnover relative to peers.

03-03-2026

The Summary Prospectus for White Oak Select Growth Fund (WOGSX) details annual operating expenses of 0.90%, with a low portfolio turnover rate of 11%, and strong 1-year performance of 24.13% before taxes as of December 31, 2025, outperforming the S&P 500's 17.88%. However, the fund underperformed the benchmark over 5 years (12.09% vs. 14.42%) and 10 years (13.21% vs. 14.82%), reflecting mixed long-term results. The fund focuses on large-cap U.S. growth stocks, holding 20-30 stocks with at least 80% in equities.

• ·Minimum initial investment: $2,000 ($1,000 with Automatic Investment Plan); additional investments: $25 minimum.
• ·Fund may invest to a lesser extent in equity REITs, foreign common stocks, and ADRs.
• ·Significant exposure to technology sector as of most recent fiscal year.
• ·After-tax returns: 1Y 15.89% (on distributions and sale), 5Y 9.45%, 10Y 10.92%.

03-03-2026

BlackRock ETF Trust filed a Summary Prospectus dated February 20, 2026, for the new iShares Enhanced Emerging Markets Active ETF (ENHE, NASDAQ), which seeks to outperform the MSCI Emerging Markets Index via active management using proprietary quantitative models while maintaining low tracking error. Annual operating expenses are 0.35% after fee waivers covering acquired fund fees through June 30, 2027, with a hypothetical $10,000 investment costing $36 in year 1 and $115 over 3 years. The fund has not commenced operations, highlighting risks such as emerging markets volatility, model inaccuracies, and authorized participant concentration.

• ·BFA contractually waives management fees equal to acquired fund fees and expenses through June 30, 2027, terminable with 90 days' notice.
• ·Fund classified as non-diversified under Investment Company Act of 1940.
• ·No portfolio turnover as fund has not commenced operations.
• ·Invests at least 80% of net assets in emerging markets equity securities or derivatives providing exposure thereto.

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 138 to its Form N-1A registration statement on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 77 (filed November 20, 2025) for the proposed Leverage Shares 2X Long [KRKN] Daily ETF until April 2, 2026. The filing incorporates Parts A and B from the prior amendment and Part C from Post-Effective Amendment No. 135 filed February 27, 2026. It was signed by trustees including Jose C. Gonzalez (President) and Dobromir Kamburov (Treasurer).

• ·File Nos.: 333-271700 and 811-23872
• ·Principal office: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830
• ·Telephone: (646) 206-1788
• ·Agent for service: Jose C. Gonzalez at the principal office
• ·Copy to: Karen Aspinall at Practus, LLP, 11300 Tomahawk Creek Parkway, Suite 310, Leawood, Kansas 66211

03-03-2026

BlackRock ETF Trust filed a Summary Prospectus dated February 20, 2026, for the launch of the iShares Enhanced International Active ETF (ENHI, NASDAQ), an actively managed fund seeking to outperform the MSCI EAFE Index using proprietary quantitative models incorporating AI and machine learning. Total annual fund operating expenses are 0.27%, with BFA contractually waiving fees equal to any Acquired Fund Fees and Expenses through June 30, 2027; the fund has not commenced operations and thus has no portfolio turnover. The prospectus highlights risks including foreign securities exposure, model risk, and authorized participant concentration, with no performance data available yet.

• ·BFA pays all operating expenses except management fees, interest, taxes, brokerage, distribution, litigation, and extraordinary expenses.
• ·Fund is non-diversified under the Investment Company Act of 1940.
• ·May invest in IPOs, convertible securities, derivatives (options, futures, swaps, forwards), and currency transactions.
• ·Estimated 1-year cost on $10,000 investment: $28; 3-year cost: $87 (assuming 5% annual return).

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 139 to its Form N-1A Registration Statement on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 61 (filed October 3, 2025) for 14 proposed leveraged ETF series until March 20, 2026. The series include Leverage Shares 3X Long Daily ETFs tracking TSLA, NVDA, COIN, PLTR, AMD, GOOG, AMZN, AAPL, HOOD, META, AVGO, UNH, BABA, and MSFT. No financial performance data, changes, or other material updates are disclosed.

• ·File Nos.: 333-271700, 811-23872
• ·Principal offices: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830
• ·Agent for service: Jose C. Gonzalez, same address
• ·Attorney: Karen Aspinall, Practus, LLP, 11300 Tomahawk Creek Parkway, Suite 310, Leawood, Kansas 66211

03-03-2026

ETF Opportunities Trust submitted a Rule 497(j) certification confirming that the Prospectus and Statement of Additional Information for the REX Crypto Equity Premium Income ETF do not differ from the update filed in the Registration Statement on Form N-1A on February 27, 2026 (Accession No. 0001771146-26-000466). The filing was made by John H. Lively, Managing Partner of Practus, LLP, on March 3, 2026. No material changes to the documents were noted.

• ·Registration Statement File Nos. 333-234544 and 811-23439
• ·Previous filing Accession No. 0001771146-26-000466

03-03-2026

PFM Multi-Manager Series Trust filed a Form 40-17G on March 03, 2026, providing notice of its fidelity bond coverage as required under the 1940 Act. No quantitative details on bond amounts or changes were discernible in the filing header. This is a routine compliance filing with no reported financial metrics or period-over-period comparisons.

• ·CIK: 0001696729
• ·SEC File Number: 811-23282
• ·Fiscal Year End: September 30
• ·State of Incorporation: Delaware
• ·Business Address: 213 Market Street, Harrisburg, PA 17101
• ·Business Phone: 215-567-6100

03-03-2026

Practus, LLP submitted a Rule 497(j) certification to the SEC on behalf of ETF Opportunities Trust, confirming that the Prospectus and Statement of Additional Information for the IDX Dynamic Fixed Income ETF and IDX Alternative FIAT ETF remain unchanged from the N-1A registration statement update filed on February 27, 2026 (Accession No. 0001771146-26-000461). The filing was signed by John H. Lively, Managing Partner of Practus, LLP. No financial data, changes, or performance metrics were disclosed.

• ·Trust File Nos.: 333-234544 and 811-23439
• ·Previous N-1A filing Accession No.: 0001771146-26-000461
• ·Contact: (913) 660-0778 or john.lively@practus.com

03-03-2026

Practus, LLP certified on behalf of ETF Opportunities Trust via Rule 497(j) filing that the Prospectuses and Statements of Additional Information for the Hedgeye Capital Allocation ETF and Hedgeye Quality Growth ETF do not differ from the update filed on Form N-1A on February 27, 2026 (Accession No. 0001771146-26-000458). John H. Lively, Managing Partner, provided contact details for any questions. No financial metrics or performance data were disclosed.

• ·File Nos. 333-234544 and 811-23439 for the Trust
• ·Contact: john.lively@practus.com, (913) 660-0778, 11300 Tomahawk Creek Pkwy., Suite 310, Leawood, KS 66211

03-03-2026

BMO 2026-5C14 Mortgage Trust, acting through depositor BMO Commercial Mortgage Securities LLC, is offering approximately $688.7M in Commercial Mortgage Pass-Through Certificates, Series 2026-5C14, backed by a pool of fixed-rate commercial mortgage loans secured by first liens on commercial, multifamily, and manufactured housing properties. The issuance includes senior classes like A-1 ($7.7M), A-S ($92.0M), B ($36.4M), and C ($23.6M), with aggregate A-2/A-3 expected at $528.9M and notional IO classes up to $536.7M; credit enhancement is provided via subordination with initial support starting at 30.0% for senior classes. Monthly distributions commence in April 2026, with closing expected around March 25, 2026, and rated final maturity in March 2059.

• ·Distributions on the 4th business day following the 11th of each month, commencing April 2026.
• ·Rated final distribution date: March 2059.
• ·Underwriters to deliver certificates in book-entry form via DTC, Clearstream, and Euroclear around March 25, 2026.
• ·Risk retention satisfied by HRR Certificates (Class E-RR through K-RR) held by CMBS 4 Sub 13, LLC and TH 1 Holdco 1 (Cayman), LP.

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 140 on March 3, 2026, solely to delay the effectiveness of Post-Effective Amendment No. 62 (filed October 7, 2025) for 12 proposed leveraged ETF series until March 20, 2026. The affected series are Leverage Shares 3X Long RKLB Daily ETF, Leverage Shares 3X Long ORCL Daily ETF, Leverage Shares 3X Long BMNR Daily ETF, Leverage Shares 3X Long OPEN Daily ETF, Leverage Shares 3X Long NBIS Daily ETF, Leverage Shares 3X Long IONQ Daily ETF, Leverage Shares 3X Long NFLX Daily ETF, Leverage Shares 3X Long CRCL Daily ETF, Leverage Shares 3X Long CRWV Daily ETF, Leverage Shares 3X Long CIFR Daily ETF, Leverage Shares 3X Long LULU Daily ETF, and Leverage Shares 3X Long SBET Daily ETF. No financial metrics or performance data are included.

• ·Incorporates Part C from Post-Effective Amendment No. 135 filed February 27, 2026
• ·File Nos. 333-271700 and 811-23872

03-03-2026

LAGO EVERGREEN CREDIT filed a Form 40-17G disclosing its Investment Company Bond (No. 108221312) issued by Travelers Casualty and Surety Company of America, effective from March 1, 2026, to March 1, 2027. The bond provides primary coverage limits of $600,000 (with $25,000 deductibles) across fidelity, on-premises, in-transit, forgery, securities, counterfeit, computer fraud, and other insuring agreements; lower limits apply to claim expense ($25,000/$2,500), stop payment orders ($60,000/$6,000), and uncollectible items ($60,000/$6,000). The filing includes notices for claims reporting, risk management resources, and state-specific complaint procedures, with no prior bonds terminated.

• ·Bond effective at 12:01 A.M. local time at insured's principal address (10 S Wacker Dr Ste 3540, Chicago, IL 60606-7476)
• ·Claims notices to: BSIclaims@travelers.com or P.O. Box 2989/One Tower Square, Hartford, CT
• ·Previous bonds/policies: Not Applicable
• ·Forms/Endorsements: IVBB-16001-0116, IVBB-19002-0116, IVBB-19044-0518, IVBB-19045-0319, IVBB-19038-0422, IVBB-18010-0116

03-03-2026

FIS Trust filed a Post-Effective Amendment No. 5 to its Registration Statement under the Securities Act of 1933 (File No. 333-288251) and Amendment No. 9 under the Investment Company Act of 1940 (File No. 811-24099) on March 3, 2026, to extend the effectiveness of the prior filing until March 10, 2026, pursuant to Rule 485(b)(1)(iii). The amendment incorporates Parts A, B, and C from the previous Post-Effective Amendment No. 2 filed on December 15, 2025, on behalf of its ETFs: Arimathea Catholic Bond Index ETF, FIS Bright Portfolios Core Bond ETF, FIS Faith Income ETF, and FIS Tactical Equity ETF. No financial performance data or material changes are disclosed.

• ·Proposed public offering as soon as practicable after effective date.
• ·Agent for service: The Corporation Trust Company, 1209 Orange Street, Wilmington, Delaware 19801.
• ·Previous filing Accession Number: 0001999371-25-020348 (December 15, 2025).

03-03-2026

The Summary Prospectus for Clough Select Equity ETF (CBSE), dated February 27, 2026, details the fund's objective of capital appreciation with lower volatility than the broader market, total annual operating expenses of 0.85%, and a high portfolio turnover rate of 767% for the fiscal year ended October 31, 2025. The actively managed ETF invests primarily in U.S.-listed equity securities and depositary receipts targeting undervalued companies with strong financial characteristics and growth potential, maintaining 20-40 positions with at least 80% in equities. Key risks include equity market risk, investment themes risk, and security selection risk, with no distribution fees currently charged.

• ·Fiscal year end: October 31
• ·12b-1 fee authorized up to 0.25% but none paid during first 12 months from prospectus date
• ·Fund listed on NYSE Arca, Inc.
• ·Adviser seeks tax efficiency via ETF structure and loss harvesting

03-03-2026

The Summary Prospectus for Clough Hedged Equity ETF (CBLS), part of Elevation Series Trust, dated February 27, 2026 and filed March 3, 2026, outlines the fund's objective of long-term capital appreciation while minimizing volatility through active management, long/short equity strategies, and hedging with options and futures. Total annual fund operating expenses are 1.89%, including 1.35% management fees and 0.54% other expenses, with no current 12b-1 fees. Portfolio turnover was notably high at 719% for the fiscal year ended October 31, 2025, which may indicate elevated transaction costs.

• ·Fund listed on NYSE Arca, Inc. with trading symbol CBLS.
• ·Fiscal year end: August 31.
• ·Adviser employs tax-aware strategies including in-kind ETF mechanisms, long/short offsets, and loss harvesting.
• ·Portfolio concentrations may be higher in energy, technology, consumer, industrial, and healthcare sectors without strict weighting.

03-03-2026

ETF Opportunities Trust filed a post-effective amendment (No. 650/652) to its registration statement on March 3, 2026, to launch two new actively managed ETFs: Tuttle Capital SPY 0DTE Income and Hedge ETF (SPDH) and Tuttle Capital Innovation 100 0DTE Income and Hedge ETF (QQDH), each seeking current income via a synthetic covered call strategy using 0DTE options on SPY/S&P 500 and Nasdaq-100 equivalents, respectively, with a total annual expense ratio of 0.95%. The funds have not commenced operations, so no performance or portfolio turnover data is available. The prospectus is subject to a 75-day effective period post-filing.

• ·Proposed effective date: 75 days after filing pursuant to Rule 485(a)(2)
• ·Funds classified as non-diversified under the 1940 Act
• ·Investment Company Act Registration No. 811-23439
• ·Securities Act Registration No. 333-234544

03-03-2026

Putnam Target Date Funds submitted a Rule 497(j) filing on March 3, 2026, certifying that the prospectuses for its Putnam Retirement Advantage Plus series (Maturity Fund, 2030 Fund, 2035 Fund, 2040 Fund, 2045 Fund, 2050 Fund, 2055 Fund, 2060 Fund, 2065 Fund, and 2070 Fund) do not differ from those in Post-Effective Amendment No. 69 to the Registration Statement (Nos. 333-117134 and 811-21598). The certification was filed electronically via Ropes & Gray LLP, with no indications of changes, performance data, or material updates disclosed. This administrative filing confirms ongoing use of existing prospectus materials.

• ·Central Index Key (CIK): 0001295293
• ·State of Incorporation: MA
• ·Fiscal Year End: 0731
• ·Former Name: Putnam RetirementReady Funds (changed 20040624)
• ·Business Address: 100 Federal Street, Boston, MA 02110
• ·Registration Nos.: 333-117134 and 811-21598
• ·Post-Effective Amendment No.: 69

03-03-2026

Piermont Valley Acquisition Corp., a Cayman Islands-incorporated SPAC, held an extraordinary general meeting on March 2, 2026, where shareholders unanimously approved (5,950,000 votes for, 0 against, 1 abstain) the Extension Proposal to amend its memorandum and articles of association, extending the business combination deadline from March 3, 2026, to March 3, 2027, with board discretion to wind up earlier. Only 536 Class A ordinary shares were redeemed, resulting in 5,954,419 Class A ordinary shares and 1 Class B ordinary share outstanding post-meeting. The amendment was filed with the Cayman Islands Registrar of Companies.

• ·Record date for meeting: January 23, 2026
• ·Meeting held virtually in person or by proxy
• ·No vote held on adjournment proposal due to quorum and approval of Extension Proposal

03-03-2026

Practus, LLP submitted a Rule 497(j) certification filing on March 3, 2026, for World Funds Trust (File Nos. 333-148723 and 811-22172), confirming that the Prospectuses and Statements of Additional Information for four Vest fund series do not differ from those in the N-1A amendment filed on February 27, 2026 (Accession No. 0001396092-26-000156). The funds are Vest US Large Cap 10% Buffer Strategies Fund, Vest US Large Cap 20% Buffer Strategies Fund, Vest S&P 500® Dividend Aristocrats Target Income Fund, and Vest Bitcoin Strategy Managed Volatility Fund. No financial metrics, performance data, or material changes were disclosed.

• ·N-1A amendment Accession No. 0001396092-26-000156 filed February 27, 2026
• ·Contact: john.lively@practus.com, (913) 660-0778, 11300 Tomahawk Creek Pkwy., Suite 310, Leawood, KS 66211

03-03-2026

ETF Opportunities Trust and Hedgeye Asset Management, LLC filed an amended application (40-APP/A) on March 3, 2026, seeking a Commission order under Section 6(c) of the 1940 Act for exemptions from Section 15(a) to enable a manager-of-managers structure, permitting the Adviser to hire, terminate, or materially amend subadvisory agreements with unaffiliated subadvisors without shareholder approval, subject to Board approval. The application also requests relief from certain disclosure requirements under Form N-1A, Schedule 14A, and Regulation S-X regarding subadvisory fees. No financial performance data or operational metrics are disclosed in the filing.

• ·Applicants request relief to apply to existing and future Funds advised by Hedgeye or affiliates using the manager-of-managers structure.
• ·Exemption excludes affiliated subadvisors; shareholder approval required for ineligible changes.
• ·Trust organized as Delaware statutory trust; Hedgeye is a Delaware LLC and registered investment adviser.

03-03-2026

ETF Opportunities Trust filed Post-Effective Amendment No. 651/653 on March 3, 2026, for the launch of the Tuttle Capital No Bleed Tail Risk ETF (ticker: OHNO), listed on Cboe BZX Exchange, which seeks to track the Tuttle Capital No Bleed Tail Risk Index through derivatives including SPX options strangles, put ratios, and VIX futures delta replication. The fund's total annual operating expenses are capped at 0.75% with the Adviser covering most costs, and it will invest up to 25% in a wholly-owned subsidiary for VIX exposure. As a new fund, it has not commenced operations and lacks portfolio turnover or performance data.

• ·Example expense for $10,000 investment: $77 (1 year), $240 (3 years)
• ·Fund classified as non-diversified under 1940 Act
• ·Proposed effective date: 60 days after filing
• ·No portfolio turnover data available as fund has not commenced operations

03-03-2026

TXNM Energy, Inc.'s Compensation Committee and Board approved the 2026 Officer Annual Incentive Plan and 2026 Long-Term Incentive Plan (LTIP) for named executive officers on February 25-26, 2026. The Annual Incentive Plan covers 2026 with cash bonuses tied to Incentive EPS threshold and goals, ranging from 57.5%-230% of base salary for the Executive Chair and President/CEO, and 35%-140% for other NEOs. The LTIP spans 2026-2028, allocating 70% to performance shares (up to 490% for CEO) based on Earnings Growth and FFO/Debt Ratio, and 30% to time-vested RSUs.

• ·Annual Incentive Plan performance period: January 1, 2026 to December 31, 2026; payments by March 15, 2027 if earned.
• ·LTIP performance period: January 1, 2026 to December 31, 2028.
• ·No awards under Annual Incentive Plan unless threshold Incentive EPS achieved.
• ·Performance measures (Incentive EPS, Earnings Growth, FFO/Debt Ratio) are non-GAAP.
• ·Time-vested RSUs to be granted post-trading blackout; final third vesting March 7, 2029.

03-03-2026

EIP Investment Trust submitted a Rule 497(j) certification to the SEC on behalf of its EIP Growth and Income Fund, confirming that the Prospectus and Statement of Additional Information remain unchanged from Post-Effective Amendment No. 15 to the Form N-1A registration statement, dated February 28, 2026 and filed February 27, 2026. No material updates or revisions were indicated in the filing. Contact provided is Noelle-Nadia A. Filali at U.S. Bank Global Fund Services.

• ·File Nos.: 333-212228 and 811-21940
• ·Trust address: 10 Wright Street, Westport, Connecticut
• ·Contact phone: 414-581-6939
• ·Contact email: noellenadia.filali@usbank.com

03-03-2026

Evernorth Holdings Inc. filed Form 425 on March 3, 2026, disclosing communications by CEO Asheesh Birla regarding the October 19, 2025 Business Combination Agreement with SPAC Armada Acquisition Corp. II, Pathfinder Digital Assets LLC, and Ripple Labs Inc., aimed at creating a public company focused on building the world's leading institutional XRP treasury and DeFi yield strategies. While forward-looking statements highlight anticipated benefits like institutional XRP adoption and Nasdaq listing, the filing extensively cautions on risks including deal failure, XRP price volatility, regulatory changes, high redemptions, and operational disruptions, urging investors to review upcoming Proxy Statement/Prospectus.

• ·Business Combination Agreement dated October 19, 2025
• ·SPAC prospectus dated May 20, 2025 (filed May 21, 2025)
• ·SPAC Quarterly Report on Form 10-Q filed August 11, 2025
• ·Registration Statement on Form S-4 and Proxy Statement/Prospectus to be filed with SEC
• ·SPAC address: 382 NE 191st St., Suite 52895, Miami, Florida 33179-3899
• ·Pubco address: 600 Battery St., San Francisco, California 94111

03-03-2026

Themes ETF Trust filed Post-Effective Amendment No. 141 to its Form N-1A registration statement on March 3, 2026, introducing a series of high-risk 4x leveraged daily ETFs tracking individual stocks including IREN, ASTS, QBTS, LITE, TSM, WDC, OKLO, MU, SNDK, and SMCI. These funds seek 400% daily performance of their underlying securities via options and swaps but emphasize extreme volatility risks, potential total loss if the underlying drops over 25% in a day, daily rebalancing leading to high turnover, and unsuitability for non-active investors. Effectiveness is proposed 75 days after filing pursuant to Rule 485(a)(2).

• ·File Nos. 333-271700 (Securities Act) and 811-23872 (Investment Company Act).
• ·Funds employ actively managed strategies using exchange-traded/FLEX call options (1-day to 1-year maturity) and up to 10% swaps, with daily rebalancing.
• ·Principal executive offices: 34 East Putnam Avenue, Suite 112, Greenwich, CT 06830; Telephone: 646-206-1788.
• ·Newly organized funds; no portfolio turnover data available.
• ·Management fees and total expenses listed as [blank]%; Adviser covers most expenses except specified items.

03-03-2026

ETF Opportunities Trust filed Post-Effective Amendment No. 652/654 to its registration statement on March 3, 2026, introducing two new actively managed ETFs: TappAlpha Cboe Magnificent 10 Growth & Daily Income ETF (TMGN) and TappAlpha Small-Cap Growth & Daily Income ETF (TRUS), each with total annual operating expenses of 0.75%. The funds seek current income and capital appreciation through long exposure to the CBOE Magnificent 10 Index (MGTN) or small-cap growth, overlaid with daily covered call options (primarily 0DTE) to generate premium income, limiting upside participation beyond strike prices between 0-10% out-of-the-money. The filing notes the funds have not commenced operations, so no portfolio turnover or performance data is available.

• ·Proposed effective date: 75 days after filing pursuant to Rule 485(a)(2)
• ·Adviser covers all Fund expenses except advisory fees, interest, taxes, brokerage, and extraordinary expenses
• ·Funds classified as non-diversified under 1940 Act; expect high portfolio turnover due to daily options strategy
• ·Options strike prices: 0% to 10% out-of-the-money; notional exposure deviation limited to +/-5%

03-03-2026

Advisors' Inner Circle Fund II filed a Rule 497(j) certification on March 3, 2026, stating that prospectuses and Statements of Additional Information dated March 1, 2026, do not differ from those in Post-Effective Amendment No. 323 to its Form N-1A registration statement filed February 27, 2026. The filing covers multiple funds and ETFs under the trust, including Kopernik Global All-Cap Fund (KGGAX, KGGIX), Kopernik International Fund (KGIRX, KGIIX), PMV Adaptive Risk Parity ETF (ARP), CastleArk Large Growth ETF (CARK), and various Frontier Asset ETFs (FARX, FCBD, FGSM, FOPC, FINT, FLCE). Certification signed by Matthew M. Maher, Vice President and Secretary.

• ·Post-Effective Amendment No. 323 filed electronically on February 27, 2026 (Accession No. 0001398344-26-004039)
• ·SEC File Numbers: 033-50718 and 811-07102

03-03-2026

1290 Funds filed a Form 497J on March 3, 2026, certifying under Rule 497(j) that its definitive Prospectus and Statement of Additional Information dated March 1, 2026, contain no differences from those in Post-Effective Amendment No. 58 filed February 24, 2026, for offerings of shares in multiple funds. The certification covers funds such as 1290 GAMCO Small/Mid Cap Value Fund, 1290 High Yield Bond Fund, and others, with no material changes noted. Trayne Wheeler, Vice President and Assistant Secretary, signed the filing.

• ·File Nos. 333-195390 and 811-22959
• ·Contact phone: (704) 341-7050

03-03-2026

ThomasLloyd Climate Solutions B.V. filed a Rule 425 communication regarding the Proposed Business Combination with Roman DBDR Acquisition Corp. II, a SPAC, which will be submitted to Roman DBDR shareholders for approval via an upcoming Form F-4 registration statement including proxy statements. The filing includes standard forward-looking statement disclaimers, risk factors, and notes on potential PIPE raise, redemptions, and regulatory approvals, with no specific financial terms or timelines disclosed. Investors are directed to read future SEC filings for details, as this is not an offer of securities.

• ·Form F-4 registration statement to be filed, including proxy/prospectus for Roman DBDR shareholders.
• ·References to Roman DBDR's prior filings: 10-Q for quarter ended September 30, 2025; 10-K for year ended December 31, 2024.

03-03-2026

Horizon Technology Finance Corporation (HRZN) is soliciting proxies from shareholders to vote FOR the proposed merger with Monroe Capital Corporation (MRCC) at a special meeting on March 13, 2026, highlighting benefits including $160M additional equity capital and over $475M combined net assets based on September 30, 2025 financials, improved liquidity, long-term NII accretion, and a $4M advisory fee waiver by HTFM over four post-closing quarters. The merger aims to support growth in venture debt and broaden lending platforms. Forward-looking statements note risks such as failure to close, unmet synergies, regulatory hurdles, and shareholder litigation.

• ·Special Meeting of HRZN Shareholders: March 13, 2026 at 2:30 p.m. ET, 312 Farmington Avenue, Farmington, Connecticut 06032
• ·Financials based on September 30, 2025
• ·Fee waiver implemented at up to $1M per quarter, not exceeding fees earned by HTFM in each quarter
• ·Proxy solicitor: Broadridge at 1-833-201-5231
• ·Related SEC filings: Registration Statement File No. 333-290114, Joint Proxy Statement

03-03-2026

PRIMECAP Odyssey Funds submitted a Rule 497(j) certification stating that the forms of Prospectus and Statement of Additional Information have not changed from those in Post-Effective Amendment No. 35 to its Registration Statement on Form N-1A, filed electronically on February 26, 2026, with amendment dated February 28, 2026. The filing confirms no material updates to disclosure documents. No financial metrics or performance data were reported.

• ·File Nos. 333-117063 and 811-21597
• ·Post-Effective Amendment No. 35 filed February 26, 2026

03-03-2026

Prudential Short-Term Corporate Bond Fund, Inc. submitted a Rule 497(j) certification to the SEC, confirming that its Prospectus and Statement of Additional Information do not differ from Post-Effective Amendment No. 69 to its Form N-1A registration statement, filed electronically on February 26, 2026. The filing was submitted on March 3, 2026, via EDGAR. No material changes or financial data were disclosed.

• ·Registration numbers: 033-22363 and 811-05594
• ·Contact: (973) 716-6422 or patrick.mcguinness@prudential.com

03-03-2026

Direxion Shares ETF Trust filed a Summary Prospectus for the Direxion Daily META Bull 2X ETF (ticker: METU, formerly Direxion Daily META Bull 2X Shares), seeking daily 2X leveraged investment results before fees of Meta Platforms, Inc. (NASDAQ: META) common shares, with total annual fund operating expenses of 1.02%. The prospectus emphasizes high risks from leverage, daily rebalancing, and compounding effects, noting the fund may lose money even if META is flat over periods longer than one day or if META drops over 50% in a single day. Portfolio turnover was 62% for the fiscal year ended October 31, 2025, expected to be higher with derivatives.

• ·Fund invests at least 80% of net assets in META securities and financial instruments like swaps for 2X leverage.
• ·META SEC file number: 001-35551.
• ·Fund is non-diversified and concentrated in communication services sector and interactive media & services industry as of December 31, 2025.
• ·Adviser fee waiver/recoupment of 0.02% for fiscal year ended October 31, 2025.

03-03-2026

AIM ETF Products Trust submitted a Rule 497(j) certification letter on March 3, 2026, confirming that the prospectuses and Statement of Additional Information for AllianzIM 6 Month Buffer10 Allocation ETF and AllianzIM Buffer20 Allocation ETF remain unchanged from Post-Effective Amendment Nos. 87/90 filed on February 27, 2026. The letter was signed by Amanda Farren, Secretary of the Trust. No financial metrics or performance data were disclosed in this regulatory filing.

• ·File Nos. 333-235734 and 811-23504
• ·Allianz Investment Management LLC address: 5701 Golden Hills Drive, Minneapolis, MN 55416-1297
• ·Contact: 763/765-7500, Amanda.Farren@allianzlife.com

03-03-2026

AIM ETF Products Trust submitted a Rule 497(j) certification letter on March 3, 2026, confirming that the Prospectuses and Statement of Additional Information for AllianzIM U.S. Equity Buffer15 ETF and AllianzIM U.S. Equity Buffer100 Protection ETF have not changed from those filed in Post-Effective Amendment Nos. 89/92 on February 27, 2026. The certification was signed by Amanda Farren, Secretary of the Trust. No financial performance data or material updates were disclosed.

• ·File Nos. 333-235734 and 811-23504
• ·Allianz Investment Management LLC address: 5701 Golden Hills Drive, Minneapolis, MN 55416-1297
• ·Contact: 763/765-7500, Amanda.Farren@allianzlife.com

03-03-2026

AIM ETF Products Trust filed a Rule 497(j) certification on March 3, 2026, confirming that the prospectuses and Statement of Additional Information for 29 AllianzIM U.S. Equity Buffer ETFs (including 10% and 20% buffer series for each month from Jan to Dec) and AllianzIM U.S. Equity 6 Month Buffer10 ETFs (Jan/Jul, Feb/Aug, Apr/Oct, May/Nov, Jun/Dec) in Post-Effective Amendment No. 86 (filed February 27, 2026) have not changed and are definitive. The certification was signed by Amanda Farren, Secretary of the Trust. No financial metrics, changes, or performance data were disclosed.

• ·Trust File Nos.: 333-235734 and 811-23504
• ·Post-Effective Amendment No. 86 filed via EDGAR on February 27, 2026

03-03-2026

AIM ETF Products Trust submitted a Rule 497(j) certification letter on March 3, 2026, confirming that the Prospectus and Statement of Additional Information for the AllianzIM Buffer15 Uncapped Allocation ETF have not changed from those filed in Post-Effective Amendment Nos. 88/91 on February 27, 2026. The letter was signed by Amanda Farren, Secretary of the Trust. This routine filing indicates no material updates to the ETF's offering documents.

03-03-2026

AIM ETF Products Trust submitted a Rule 497(j) certification on March 3, 2026, confirming that the prospectuses for 12 AllianzIM U.S. Equity Buffer15 Uncapped ETFs (Jan through Dec) and the Statement of Additional Information in Post-Effective Amendment No. 85 do not differ from those filed on February 27, 2026. The filing was signed by Amanda Farren, Secretary. This is a procedural SEC filing with no financial metrics or performance data disclosed.

• ·File Nos. 333-235734 and 811-23504
• ·Post-Effective Amendment Nos. 85/88 (PEA No. 85) filed February 27, 2026

03-03-2026

Kurv ETF Trust filed Post-Effective Amendment No. 49 to its Registration Statement on March 3, 2026, under Rule 485(b)(1)(iii), solely to designate March 11, 2026, as the new effective date for Post-Effective Amendment No. 40. This pertains to the registration of Kurv Ether Enhanced Income ETF and Kurv XRP Enhanced Income ETF, incorporating Parts A, B, and C from the November 21, 2025, filing by reference. No financial performance data or changes are reported.

• ·SEC Act File No. 333-233633
• ·Investment Company Act File No. 811-23473
• ·Previous filing date: November 21, 2025 (SEC Accession No. 0001999371-25-020784)
• ·State of Incorporation: Delaware
• ·Fiscal Year End: October 31
• ·Registrant’s Telephone Number: (914) 953-8811

03-03-2026

Advisors Series Trust filed a Rule 497(j) certification on March 3, 2026, for its series Edgar Lomax Value Fund (File Nos. 333-17391 and 811-07959), confirming that the forms of Prospectus and Statement of Additional Information have not changed from those in Post-Effective Amendment No. 1189 filed on February 27, 2026. The certification was signed by Elaine E. Richards, Vice President and Secretary. No material updates or financial data were disclosed.

• ·File Nos.: 333-17391 and 811-07959
• ·Post-Effective Amendment No. 1189 dated February 28, 2026, filed February 27, 2026

03-03-2026

AIM ETF Products Trust submitted a Rule 497(j) certification letter to the SEC on March 3, 2026, confirming that prospectuses and Statements of Additional Information for the AllianzIM U.S. Equity 6 Month Floor5 Jan/Jul ETF and AllianzIM U.S. Equity 6 Month Floor5 Apr/Oct ETF remain unchanged from those filed in Post-Effective Amendment Nos. 84/87 on February 27, 2026. The letter was signed by Amanda Farren, Secretary of the Trust. No material changes or financial data were disclosed.

• ·Trust File Nos.: 333-235734 and 811-23504
• ·Contact: 763/765-7500, Amanda.Farren@allianzlife.com