United States — United States Securities and Exchange Commission & UBS
18 shared events · Importance 7 · Last updated Aug 11, 2026
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Regulatory
United States — United States Securities and Exchange Commission: The SEC brought parallel charges that were resolved as part of the settlement, contributing to the overall penalty.
UBS: UBS, the parent company, faces reputational and financial impact from the record fine on its U.S. subsidiary, though it remains financially strong and is expanding in the U.S. market.
Aug 03, 2026 · 9 articles
Business
United States — United States Securities and Exchange Commission: The United States — United States Securities and Exchange Commission is the regulatory body with which Cumberland Farms filed its registration statement for the IPO. Its approval is crucial for the offering to proceed.
UBS: UBS Investment Bank is acting as a joint book-running manager for the proposed offering.
Jul 02, 2026 · 6 articles
Business
United States — United States Securities and Exchange Commission: SpaceX>>> filed its IPO prospectus with the United States — United States Securities and Exchange Commission>>> (SEC), a mandatory legal document for companies going public. The SEC's review process influenced the IPO timeline.
UBS: UBS>>> is one of the international banks participating in the SpaceX>>> IPO, tasked with attracting wealthy individual investors.
Apr 20, 2026 · 457 articles
Business
United States — United States Securities and Exchange Commission: The United States — United States Securities and Exchange Commission declared effective Altor BioScience' shelf registration statement on Form S-3, allowing the public offering to proceed.
UBS: UBS is acting as a joint book-running manager for the public offering by Altor BioScience, facilitating the sale of shares and earning underwriting fees.
Jun 03, 2026 · 12 articles
Business
United States — United States Securities and Exchange Commission: The SEC declared the registration statement effective, enabling the offering to proceed; its role is regulatory and neutral.
UBS: UBS acts as a lead book-running manager, earning underwriting fees and reinforcing its investment banking presence.
Aug 17, 2026 · 6 articles
Regulatory
United States — United States Securities and Exchange Commission: The SEC is investigating Jefferies' disclosures regarding its exposure to First Brands, potentially leading to penalties.
UBS: UBS was mentioned in a Wall Street Journal article as also affected by First Brands' bankruptcy, but no specific impact on UBS is detailed.
Jul 07, 2026 · 6 articles
Business
United States — United States Securities and Exchange Commission: The SEC is the regulator reviewing Jersey Mike s Subs registration statement; the IPO cannot proceed until the registration becomes effective.
UBS: UBS Investment Bank is a joint bookrunner, earning underwriting fees.
Jul 20, 2026 · 6 articles
Business
United States — United States Securities and Exchange Commission: The United States — United States Securities and Exchange Commission declared the registration statement for Quantinuum's IPO effective, ensuring regulatory compliance for the offering.
UBS: UBS acted as a joint-book running manager for Quantinuum's IPO.
May 26, 2026 · 76 articles
Business
United States — United States Securities and Exchange Commission: The United States — United States Securities and Exchange Commission is the regulatory body with which IDEAYA Biosciences filed its shelf registration statement for the public offering.
UBS: UBS is acting as a joint book-running manager for the public offering by IDEAYA Biosciences, supporting the securities transaction.
Jun 08, 2026 · 9 articles
Business
United States — United States Securities and Exchange Commission: The SEC received the Form 4 filings disclosing the CEO's share sales, fulfilling regulatory disclosure requirements.
UBS: Reiterated a 'buy' rating and set a $75 price target, indicating confidence in the stock.
Jul 31, 2026 · 6 articles
Regulatory
United States — United States Securities and Exchange Commission: The SEC is referenced as the regulator under whose rules the lawsuit is brought, but is not a direct party in the litigation.
UBS: UBS downgraded Wix to 'Neutral' on April 2, 2026, citing concerns about its growth algorithm and margin profile. The downgrade added to negative sentiment.
Jul 06, 2026 · 228 articles
Business
United States — United States Securities and Exchange Commission: The SEC declared the registration statement effective, allowing the IPO to proceed.
UBS: UBS Investment Bank is an additional bookrunning manager for the IPO, participating in the underwriting syndicate.
Jul 07, 2026 · 8 articles
Business
United States — United States Securities and Exchange Commission: The United States — United States Securities and Exchange Commission declared the registration statement for Investment Technology Group's IPO effective, fulfilling regulatory requirements.
UBS: UBS is acting as a joint bookrunner and representative of the underwriters for Investment Technology Group's IPO.
Jun 30, 2026 · 6 articles
Business
United States — United States Securities and Exchange Commission: The SEC received Form 4 filings disclosing the insider transactions, ensuring regulatory compliance.
UBS: UBS raised its price target to $315 with a 'buy' rating, citing AI growth optimism.
Jul 28, 2026 · 6 articles
Business
United States — United States Securities and Exchange Commission: The SEC received the Form 4 filings for the transactions; the event is routine and does not affect the SEC.
UBS: UBS raised its price target to $315, driven by anticipated growth in AI and insights from customer discussions.
Jul 17, 2026 · 7 articles
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