B. Riley Financial, Inc. 8-K Filing

FAQ

Key Financial Figures

• $0.0001 — ch registered Common Stock, par value $0.0001 per share RILY Nasdaq Global Market

Filing Documents

• ea0267598-8k_briley.htm (8-K) — 43KB
• ea026759801ex99-1_briley.htm (EX-99.1) — 11KB
• ex99-1_001.jpg (GRAPHIC) — 11KB
• 0001213900-25-115932.txt ( ) — 314KB
• rily-20251121.xsd (EX-101.SCH) — 5KB
• rily-20251121_def.xml (EX-101.DEF) — 29KB
• rily-20251121_lab.xml (EX-101.LAB) — 40KB
• rily-20251121_pre.xml (EX-101.PRE) — 27KB
• ea0267598-8k_briley_htm.xml (XML) — 12KB

01 Notice of Delisting or Failure to Satisfy a Continued

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard On November 21, 2025, B. Riley Financial, Inc. (the "Company") received an expected delinquency notification letter from Nasdaq, pursuant to Nasdaq Listing Rule 5810(b). The letter indicated that the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) (the "Filing Rule") as a result of the delayed filing of the Company's Form 10-Q for the period ended September 30, 2025 (the "Third Quarter 10-Q"). As previously disclosed on November 19, 2025, the Company participated in a hearing with a Nasdaq Hearings Panel (the "Panel") on November 4, 2025 in connection with the Company's non-compliance with the Filing Rule, as previously notified by the Nasdaq Listing Qualifications Staff on April 3, 2025, May 21, 2025 and August 20, 2025. Those notifications were in connection with the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2024 (the "2024 10-K"), the Quarterly Report on Form 10-Q for the period ended March 31, 2025 (the "First Quarter 10-Q") and the Quarterly Report on Form 10-Q for the period ended June 30, 2025, respectively. On November 18, 2025, the Panel granted the Company's request for an exception to the Filing Rule, which provides the Company with an exception to the Filing Rule through no later than January 20, 2026 to file the Third Quarter 10-Q with the SEC, among other terms and conditions disclosed on November 18, 2025. Also on November 18, 2025, the Company filed the First Quarter 10-Q with the SEC. Previously, on September 19, 2025, the Company filed the 2024 10-K with the SEC.

01 Regulation FD Disclosure

Item 7.01 Regulation FD Disclosure. On November 28, 2025, the Company issued a press release related to the information described in Item 3.01 above. A copy of the press release is furnished as Exhibit 99.1 to this report. The information furnished pursuant to this Item 7.01 (including Exhibit 99.1 hereto), shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such a filing.

01. Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits. (d) Exhibits Exhibit No. Description 99.1 Press Release dated November 28, 2025 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) 1

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. B. Riley Financial, Inc. By: /s/ Scott Yessner Name: Scott Yessner Title: Executive Vice President and Chief Financial Officer Date: November 28, 2025 2

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View this 8-K filing on SEC EDGAR