Wednesday, November 4, 2026

SEC filing watch for November 4, 2026

No new filing met our bar for a top pick today. Below: listing deadlines coming up, follow-ups on earlier filings, and other filings we flagged, each linked to the source. Summaries of public SEC filings, not investment advice. Always read the filing.

Deadline watch: next 30 days

Parabolic Technologies ($PARA) · Trading suspension: November 5, 2026
Nasdaq staff delisting determination (minimum bid price) received October 27, 2026. The filing says trading will be suspended on November 5, 2026 unless a hearing request was received by November 3, 2026. No later Item 3.01 8-K was on EDGAR as of November 4, 2026. Filing · Tracker
American Resources ($AREC) · Compliance deadline: November 16, 2026
Nasdaq deficiency notice (late periodic filing) received October 6, 2026: compliance deadline after an extension is November 16, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 4, 2026. Filing · Tracker
Future Money Acquisition ($FMAC) · Deadline to submit a compliance plan: November 23, 2026
Nasdaq deficiency notice (late periodic filing) received September 22, 2026: deadline to submit a compliance plan is November 23, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 4, 2026. Filing · Tracker
Aether Holdings ($ATHR) · Deadline to submit a compliance plan: November 27, 2026
Nasdaq deficiency notice (annual meeting not held) received October 12, 2026: deadline to submit a compliance plan is November 27, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 4, 2026. Filing · Tracker
Better Home & Finance Holding ($BETR) · Deadline to submit a compliance plan: November 27, 2026
Nasdaq deficiency notice (audit committee / board independence) received October 13, 2026: deadline to submit a compliance plan is November 27, 2026, per the filing. No later Item 3.01 8-K was on EDGAR as of November 4, 2026. Filing · Tracker

Every open Nasdaq and NYSE listing notice: smallcapsiren.com/delisting-tracker

Follow-ups

U.S. GoldMining ($USGO)
8-K filed November 3, 2026 follows an earlier Nasdaq notice: “The Company believes that as a result of the appointment of Mr. DeLucchi to the Board and as Chair of the Audit Committee, the Company has regained compliance with Nasdaq’s audit committee requirements set forth in Nasdaq Listing Rule 5605.” Filing

Also flagged

Driven Brands Holdings ($DRVN) · Non-reliance (8-K Item 4.02), 8-K filed November 3, 2026
The 8-K says previously issued financial statements should no longer be relied upon (Item 4.02). Filing
Polomar Health Services ($PMHS) · Non-reliance (8-K Item 4.02), 8-K filed November 3, 2026
The 8-K says previously issued financial statements should no longer be relied upon (Item 4.02). Filing
Innovative Industrial Properties ($IIPR) · Going-concern language, 10-Q filed November 3, 2026
The 10-Q includes substantial-doubt going-concern language, as in earlier reports. Filing

Explainer: What a minimum bid price notice is

Nasdaq and the NYSE require listed shares to trade at $1.00 or more. After 30 consecutive business days below that level, the exchange sends a deficiency notice, which the company reports on an 8-K under Item 3.01. Nasdaq usually allows 180 calendar days to regain compliance; a company that did large or recent reverse splits may get no compliance period and receive a delisting determination instead.

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