SIEBERT FINANCIAL CORP (SIEB): Nasdaq/NYSE listing notice — Siebert Financial receives Nasdaq delisting notice for missing annual meeting deadline

SIEBERT FINANCIAL CORP

Nasdaq notified Siebert on Jan 5, 2024, of non-compliance with Listing Rule 5620(a) for failing to hold annual meeting within 12 months of fiscal year-end.
Company has 45 days to submit a plan to regain compliance; Nasdaq may grant up to 180-day exception until June 28, 2024.
Annual meeting was postponed due to a pending Second Tranche Stock Purchase Agreement, which was terminated on Dec 19, 2023.
Company is now rescheduling its annual meeting in the ordinary course; date to be announced later.

item 3.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

SIEBERT FINANCIAL CORP received a nasdaq deficiency notice notice regarding other (rules 5620(a)).

Exchange: nasdaq
Notice: deficiency notice
Rules: 5620(a)

Exact text from the filing

January 5, 2024, Siebert Financial Corp. (the “Company”) received a letter from Nasdaq Regulation, dated January 5, 2024, notifying it that because the Company has not held an annual meeting of shareholders within twelve months of the end of the Company’s fiscal year end, it no longer complies with Nasdaq’s Listing Rules (the “Rules”) for continued listing, including Listing Rules 5620(a). Under the Rules, the Company has 45 calendar days to submit a plan to regain compliance, and if Nasdaq accepts the Company's plan, Nasdaq can grant an exception of up to 180 calendar days from the fiscal yea

View on SEC.gov

Browse all listing & compliance notices →

SIEBERT FINANCIAL CORP filing history →

Source: SEC EDGAR

accession 0001213900-24-003283

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.