$TOP

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Regulation FD Disclosure. Exhibit 99.1 TOP Financial Group Limited Establishes U.S. Headquarters and Restructures Board of Directors HOUSTON, Texas, Oct. 14, 2026 (GLOBE NEWSWIRE) -- TOP Financial Group Limited (NASDAQ: TOP, “TOP” or the “Company”), a fast-growing online brokerage firm specializing in loc

TOP Financial Group (NASDAQ:TOP) established its U.S. headquarters in Houston and restructured its board, adding two new members and expanding to seven. The company's board now has 85.7% North American representation. TOP provides online brokerage services and holds licenses in Hong Kong, Singapore, and Australia. The company filed a Form 8-K with the SEC regarding the restructuring.

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers. Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. Appointment of Dean Huge as Independent Director On October 8, 2026, the Board of Directors (the “Board”) of TOP Financial

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers. Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. On September 25, 2026, TOP Financial Group Limited, a Cayman Islands exempted company (the “Company”), entered into amended

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers. Item 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers On September 21, 2026, Mr. Ka Fai Yuen resigned as a director of TOP Financial Group Limited (the “Company”). Mr. Yuen’s resignation was not the result of any disagree

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Entry into a Material Definitive Agreement. EX-4.1 2 ea029860801ex4-1.htm FORM OF WARRANT, AS AMENDED Exhibit 4.1 THE SECURITIES REPRESENTED HEREBY HAVE BEEN OFFERED IN AN OFFSHORE TRANSACTION TO A PERSON WHO IS NOT A U.S. PERSON (AS DEFINED HEREIN) PURSUANT TO REGULATION S UNDER THE UNITED STATES SECURITIES ACT OF 1933, A

TOP Financial Group Ltd (TOP) filed an SEC Form 8-K — Unregistered Sales of Equity Securities. false 0001848275 00-0000000 0001848275 2026-07-09 2026-07-09 iso4217:USD xbrli:shares iso4217:USD xbrli:shares UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Da

TOP Financial Group Limited (NASDAQ: TOP) said its July 9, 2026 private placement closed under a March 25, 2026 purchase agreement. It issued 214,431,222 units at $0.37308 each, raising $80.0 million gross. Each unit includes one Class A share and two warrants exercisable at $0.4477, expiring July 9, 2029. Shares outstanding rose to 247,984,676 Class A.

Top Line Business Development Corp. (TOP) said the SEC approved a preferred shares offering raising up to P1.5 billion, with P1 billion in firm shares and up to P500 million in oversubscription shares. Initial dividend rates are 9.1325% (TOPA1) and 9.5981% (TOPA2). Proceeds will fund fuel import/logistics and depot upgrades adding up to 40 million liters. Offer runs June 4–16; listing is June 26.

Japan’s Nikkei 225 fell sharply on Thursday, down 1,118.16 points (1.63%) to 67,283.97, after a low of 67,262.86, reversing Wednesday’s gains and reflecting broadly negative Wall Street cues. Weakness led by exporters and index heavyweights; SoftBank Group fell over 8%, Panasonic nearly 5%, Sony over 2%. The dollar traded around 159 yen.