---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-24-003283"
form_type: "8-K"
ticker: "SIEB"
cik: "0000065596"
company_name: "SIEBERT FINANCIAL CORP"
filed_at: "2024-01-12T23:59:59+00:00"
generated_at: "2026-06-07T00:13:36.524757+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# Siebert Financial receives Nasdaq delisting notice for missing annual meeting deadline

## Summary
- 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.

## SEC filing metadata
- accession: 0001213900-24-003283
- form_type: 8-K
- ticker: SIEB
- cik: 0000065596
- company_name: SIEBERT FINANCIAL CORP
- filed_at: 2024-01-12T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/65596/000121390024003283/0001213900-24-003283-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/65596/000121390024003283/ea191554-8k_siebert.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-24-003283
- JSON: https://secwatch.observer/filing/0001213900-24-003283.json
- Plain text: https://secwatch.observer/filing/0001213900-24-003283.txt

## Key facts
- Listing & Compliance Notices
  SIEBERT FINANCIAL CORP received a nasdaq deficiency notice notice regarding other (rules 5620(a)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Rules: 5620(a)
  source text: 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
  evidence_url: https://www.sec.gov/Archives/edgar/data/65596/000121390024003283/0001213900-24-003283-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.