Exchange Listing Notices: Deficiencies, Delistings, IPOs
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Exchange Listing Notices: Deficiencies, Delistings, IPOs
Nasdaq and NYSE listing events for US stocks: deficiency notices (8-K Item 3.01) with reason, rule and compliance deadline, Form 25 delistings with basis, new exchange listings (8-A12B) and the IPO calendar. Official SEC EDGAR and Nasdaq data.
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Exchange Listing Notices: Deficiencies, Delistings, New Listings, IPOs
Track US stock listing status changes from official sources.
- deficiency: exchange notices disclosed in 8-K Item 3.01 (Nasdaq, NYSE, NYSE American). Each row carries the reason (minimum bid price, stockholders' equity, late 10-K/10-Q, audit committee, holders, SPAC deadline...), status (deficiency notice, delisting determination, hearing, extension, regained compliance, transfer, merger completion), cited listing rules, notice date, compliance deadline and a text summary.
- delisting: Form 25-NSE (exchange-initiated) and Form 25 (issuer) removals, with exchange, security class, Rule 12d2-2 provision and basis.
- newListing: Form 8-A12B registrations of a class on an exchange (IPOs, uplists, new ETFs, SPACs), with exchange and security description.
- ipo: Nasdaq IPO calendar (priced, expected, filed, withdrawn) with price, shares and offer size.
Every SEC row includes company, CIK, tickers, filed date, accession number and links to the document and filing index.
Example input
{"eventTypes": ["deficiency"], "dateFrom": "2026-10-01", "exchanges": ["Nasdaq"]}
Example output
{"eventType": "deficiency", "filedDate": "2026-10-15", "company": "Cyngn Inc.", "tickers": ["CYN"], "exchange": "Nasdaq","reason": "minimum bid price", "status": "deficiency notice", "listingRules": ["5550(a)(2)"],"noticeDate": "2026-10-14", "complianceDeadline": "2027-04-12"}
Uses: short-squeeze and distressed screens, reverse-split anticipation, compliance monitoring, index and universe maintenance.