S-10/04/2022-40551|10/04/2022|Common Stock|Admit|10/05/2022|CPI Aerostructures, Inc.|CVU|Effective before the Open                Trading to be resumed on October 5, 2022.  The Common Stock is currently quoted on OTC market under symbol "CVUA."|125919308|N|NYSE American|Common Stock Without Par Value||||||||||
S-10/04/2022-40552|10/04/2022|ETF|NewListing|10/05/2022|Global X Funds|RYLG|Effective before the Open                First day of Trading: October 5, 2022 To be admitted to the list and to trading on October 5, 2022.|37960A776|N|NYSE Arca|Global X Russell 2000 Covered Call & Growth ETF|RYLG.NV|RYLG.SO|RYLG.EU|RYLG.TC|RYLG.IV|||||
S-10/04/2022-40553|10/04/2022|ETF|NewListing|10/05/2022|Thrivent ETF Trust|TSME|Effective before the Open                First day of Trading: October 5, 2022 To be admitted to the list and to trading on October 5, 2022.|88588G109|N|NYSE Arca|Thrivent Small-Mid Cap ESG ETF|TSME.NV|TSME.SO|TSME.EU|TSME.TC|TSME.IV|||||
S-10/04/2022-40554|10/04/2022|ETF|NewListing|10/05/2022|Elevation Series Trust|SRHQ|Effective before the Open                First day of Trading: October 5, 2022 To be admitted to the list and to trading on October 5, 2022.|210322103|N|NYSE Arca|SRH U.S. Quality ETF|SRHQ.NV|SRHQ.SO|SRHQ.EU|SRHQ.TC||||||
S-10/04/2022-40555|10/04/2022|Common Stock|RegWay|10/06/2022|Bluerock Homes Trust, Inc.|BHM WI|Effective before the Open                DMM Firm: BRENDAN E. CRYAN AND COMPANY, LLC        First "Regular-Way" Market Trading Date: October 6, 2022 "Regular-Way" Security Symbol: BHM The Symbol Suffix "WI" representing the "When-Issued" market will be removed. Trading in the "Regular-Way" market under Symbol "BHM " to begin at the market open on October 6, 2022.|09631H100|N|NYSE American|Class A Common Stock||||||||||
S-10/04/2022-40556|10/04/2022|Preferred Stock|Suspend|10/06/2022|Bluerock Residential Growth REIT Inc.|BRG PRD|Pending before the Open        Subject to effectiveness of the Merger        Trading to be suspended on October 6, 2022 Pending before the Open|09627J656|N|NYSE American|7.125% Series D Cumulative Preferred Stock||||||||||
S-10/04/2022-40557|10/04/2022|Preferred Stock|Suspend|10/06/2022|Bluerock Residential Growth REIT Inc.|BRG PRC|Pending before the Open        Subject to effectiveness of the Merger        Trading to be suspended on October 6, 2022 Pending before the Open|09627J748|N|NYSE American|7.625% Series C Cumulative Redeemable Preferred Stock||||||||||
S-10/04/2022-40558|10/04/2022|Common Stock|Suspend|10/06/2022|Bluerock Residential Growth REIT Inc.|BRG|Pending before the Open        Subject to effectiveness of the Merger        Trading to be suspended on October 6, 2022 Pending before the Open|09627J102|N|NYSE American|Class A Common Stock||||||||||
S-10/04/2022-40559|10/04/2022|Common Stock|Suspend|10/06/2022|Vy Global Growth|VYGG|Effective before the Open                DMM Firm: VIRTU FINANCIAL CAPITAL MARKETS LLC        Trading to be suspended on October 6, 2022 Effective before the Open|G9444H100|N|NYSE|Class A Ordinary Shares||||||||||
S-10/04/2022-40560|10/04/2022|Unit|Suspend|10/06/2022|Vy Global Growth|VYGG U|Effective before the Open                DMM Firm: VIRTU FINANCIAL CAPITAL MARKETS LLC        Trading to be suspended on October 6, 2022 Effective before the Open|G9444H126|N|NYSE|Units, each consisting of one Class A Ordinary Share, and one fifth of one Warrant to acquire one Class A Ordinary Share||||||||||
S-10/04/2022-40561|10/04/2022|Common Stock|RegWay|10/07/2022|M-tron Industries, Inc.|MPTI WI|Effective before the Open                DMM Firm: BRENDAN E. CRYAN AND COMPANY, LLC        First "Regular-Way" Market Trading Date: October 7, 2022 "Regular-Way" Security Symbol: MPTI The Symbol Suffix "WI" representing the "When-Issued" market will be removed. Trading in the "Regular-Way" market under Symbol "MPTI " to begin at the market open on October 7, 2022.|55380K109|N|NYSE American|Common Stock||||||||||
S-10/04/2022-40562|10/04/2022|Common Stock|SuspExDistWI|10/07/2022|LGL Group Inc (The)|LGL WI|Effective before the Open                "Ex-Distribution" Market Suspension Date: October 7, 2022 "Ex-Distribution" Market Trading to be suspended on October 7, 2022.  Trading will continue "Regular-Way" at a new price.|50186A140|N|NYSE American|Common Stock||||||||||
S-10/04/2022-40563|10/04/2022|Common Stock|VolDelist|10/07/2022|GAMCO Investors, Inc.|GBL|Effective before the Open                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended and removed from listing and registration on October 7, 2022 Effective before the Open|361438104|N|NYSE|Class A Common Stock||||||||||
S-10/04/2022-40564|10/04/2022|Common Stock|Suspend|10/07/2022|Convey Health Solutions Holdings, Inc.|CNVY|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended on October 7, 2022 Pending before the Open|21258C108|N|NYSE|Common Stock||||||||||
S-10/04/2022-40565|10/04/2022|Structured Product|NewStrucProd|10/07/2022|Reinsurance Group of America, Incorporated|RZC|Effective before the Open                DMM Firm: CITADEL SECURITIES LLC        First day of Trading: October 7, 2022 To be admitted to the list and to trading,Effective before the Open on October 7, 2022|759351885|N|NYSE|7.125% Fixed-Rate Reset Subordinated Debentures due 2052||||||||||
S-10/04/2022-40566|10/04/2022|Common Stock|NewListing|10/07/2022|Castellum, Inc.|CTM|Pending before the Open        Subject to effectiveness of the 1934 Act, Pricing, and certain other conditions        DMM Firm: CITADEL SECURITIES LLC        First day of Trading: October 7, 2022 To be admitted to the list and to trading on a split-adjusted basis, under a new Symbol and CUSIP on October 7, 2022, in connection with a 1-for-20 reverse stock split, and concurrent public offering. The Common Stocks are currently quoted under Symbol "ONOV" on the OTC market.|14838T204|N|NYSE American|Common Stock||||||||||
S-10/04/2022-40567|10/04/2022|Warrant|SuspCause|10/04/2022|Austerlitz Acquisition Corporation II|ASZ WS|Effective Immediately                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended Effective Immediately on October 4, 2022. See press release issued by NYSE Regulation for further details.|G0633U127|N|NYSE|Warrants, each whole Warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share||||||||||
S-10/04/2022-40568|10/04/2022|Warrant|SuspCause|10/04/2022|Austerlitz Acquisition Corporation I|AUS WS|Effective Immediately                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended Effective Immediately on October 4, 2022. See press release issued by NYSE Regulation for further details.|G0633D125|N|NYSE|Warrants, each whole Warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share||||||||||
S-10/04/2022-40569|10/04/2022|ETF|NewListing|10/06/2022|EA Series Trust|SHOC|Pending before the Open        Subject to effectiveness of the 1934 Act        First day of Trading: October 6, 2022 To be admitted to the list and to trading on October 6, 2022.|02072L672|N|NYSE Arca|Strive U.S. Semiconductor ETF|SHOC.NV|SHOC.SO|SHOC.EU|SHOC.TC|SHOC.IV|||||
S-10/04/2022-40570|10/04/2022|ETF|NewListing|10/06/2022|Unified Series Trust|NSPL|Pending before the Open        Subject to effectiveness of the 1934 Act        First day of Trading: October 6, 2022 To be admitted to the list and to trading on October 6, 2022.|90470L428|N|NYSE Arca|NightShares 500 1x/1.5x ETF|NSPL.NV|NSPL.SO|NSPL.EU|NSPL.TC||||||
S-10/04/2022-40571|10/04/2022|ETF|NewListing|10/06/2022|ETF Series Solutions|DSMC|Pending before the Open        Subject to effectiveness of the 1934 Act        First day of Trading: October 6, 2022 To be admitted to the list and to trading on October 6, 2022.|26922B667|N|NYSE Arca|Distillate Small/Mid Cash Flow ETF|DSMC.NV|DSMC.SO|DSMC.EU|DSMC.TC||||||
S-10/04/2022-40572|10/04/2022|Unit|Suspend|10/06/2022|Atlantic Avenue Acquisition Corp|ASAQ U|Effective before the Open                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended on October 6, 2022 Effective before the Open|04906P200|N|NYSE|Units, each consisting of one share of Class A common stock and one-half of one Warrant||||||||||
S-10/04/2022-40573|10/04/2022|Common Stock|Suspend|10/06/2022|Atlantic Avenue Acquisition Corp|ASAQ|Effective before the Open                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended on October 6, 2022 Effective before the Open|04906P101|N|NYSE|Class A Common Stock||||||||||
S-10/04/2022-40574|10/04/2022|Warrant|Suspend|10/06/2022|Atlantic Avenue Acquisition Corp|ASAQ WS|Effective before the Open                DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended on October 6, 2022 Effective before the Open|04906P119|N|NYSE|Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share||||||||||