B. Riley Financial Regains Nasdaq Listing Compliance

Dow Jones04-26

By Dean Seal

B. Riley Financial said Friday it has regained compliance with Nasdaq's listing standards after filing its 2023 annual report.

The financial-services platform was informed last month that it had received a delinquency notification from Nasdaq over its delayed filing of an annual report.

B. Riley said at the time that it was taking more time to review its transactions with client Brian Kahn and his collapsed firm: Prophecy Asset Management. The company said earlier this week that an independent firm's investigation has shown B. Riley had no knowledge of Kahn's alleged improprieties.

Nasdaq told B. Riley that it had 60 days to regain compliance with listing rules. The company said that it is now back in compliance, having filed an annual report earlier in the week.

Write to Dean Seal at dean.seal@wsj.com

(END) Dow Jones Newswires

April 26, 2024 09:24 ET (13:24 GMT)

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