SIEBERT FINANCIAL CORP (SIEB): Nasdaq/NYSE listing notice — Siebert Financial receives Nasdaq deficiency notice for late 10-K filing

SIEBERT FINANCIAL CORP

Nasdaq notified Siebert on Apr 18, 2024 of non-compliance due to late filing of 2023 Form 10-K (due Apr 15, 2024).
Company expects to file 2023 10-K with unqualified audit opinion before compliance deadline.
Siebert has until June 17, 2024 to submit a compliance plan; if accepted, Nasdaq may grant extension to Oct 14, 2024.
Company intends to suspend its Form S-3 registration statements due to loss of eligibility for timely filings.
No immediate effect on stock listing or trading on Nasdaq.

item 3.01 item 7.01 item 8.01 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 1.0

SIEBERT FINANCIAL CORP received a nasdaq deficiency notice notice regarding late filing (rules 5250(c)(1)).

Exchange: nasdaq
Notice: deficiency notice
Deficiency: late filing
Rules: 5250(c)(1)

Exact text from the filing

t under Nasdaq Rules the Company has 60 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 due date of the 2023 Form 10-K, or until October 14, 2024, to regain compliance. Under Nasdaq Rule 5250(c)(1) the Company must timely file all required periodic financial reports with the SEC through the EDGAR System or with the Other Regulatory Authority. Annual reports filed with Nasdaq shall contain audited financial statements. As previously reported by the Company on its Notification of Late

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SIEBERT FINANCIAL CORP filing history →

Source: SEC EDGAR

accession 0001213900-24-035830

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