secwatch.observer — SEC 8-K summary
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Issuer:     SIEBERT FINANCIAL CORP (SIEB)
CIK:        0000065596
Form:       8-K
Filed at:   2024-04-24T23:59:59+00:00
Accession:  0001213900-24-035830
Event type: regulatory
Sentiment:  negative
Materiality: 0.65
Item codes: 3.01, 7.01, 8.01, 9.01
LLM model:  deepseek-v4-flash:cloud@v2

Siebert Financial receives Nasdaq deficiency notice for late 10-K filing
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- 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.

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/65596/000121390024035830/0001213900-24-035830-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/65596/000121390024035830/ea0204555-8k_siebert.htm
  HTML page:      https://secwatch.observer/filing/0001213900-24-035830

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