> ## Documentation Index
> Fetch the complete documentation index at: https://docs.secapi.ai/llms.txt
> Use this file to discover all available pages before exploring further.

# GET /v1/dilution/nasdaq-compliance

> Find Nasdaq deficiency and compliance notices by issuer, status, or date

Find Nasdaq deficiency and compliance notices by issuer, status, or date

<Info>
  Audience: investors and developers monitoring disclosed listing-compliance events.
</Info>

## Canonical metadata

* `data`
* `hasMore`
* `nextCursor`
* `per-row: date, deficiency, status, accessionNumber, verification.confidence`
* `requestId`
* `traceparent (standard response/header)`

## Example request

<RequestExample>
  ```bash theme={null}
  curl -X GET -H "x-api-key: $SECAPI_API_KEY" -H "secapi-version: 2026-03-19" "https://api.secapi.ai/v1/dilution/nasdaq-compliance?ticker=EXAMPLE&limit=10"
  ```
</RequestExample>

## Example response

<ResponseExample>
  ```json theme={null}
  {
    "object": "list",
    "data": [
      {
        "object": "dilution_nasdaq_compliance",
        "id": "dil_nasdaq_acme_a",
        "ticker": "ACME",
        "date": "2026-01-15",
        "deficiency": "Minimum bid price",
        "status": "compliance_period",
        "accessionNumber": "0001234567-26-001234",
        "documentUrl": "https://example.test/8k.htm",
        "verification": {
          "confidence": 0.92
        }
      }
    ],
    "hasMore": false,
    "nextCursor": null,
    "requestId": "req_2ZK8Q1W9F4M6P7R3",
    "traceparent": "00-4bf92f3577b34da6a3ce929d0e0e4736-00f067aa0ba902b7-01"
  }
  ```
</ResponseExample>

## Evidence and limits

Statuses summarize disclosed notice and remediation context in covered records; they are not an exchange-authoritative, real-time listing feed. Preserve the source date and filing reference, and confirm material current status with the issuer or exchange. See [freshness and trust](/freshness-and-trust).

## Give this prompt to your agent

<Prompt>
  Use SEC API GET /v1/dilution/nasdaq-compliance to find Nasdaq deficiency and compliance notices by issuer, status, or date. For the standard response, preserve `data`, `hasMore`, `nextCursor`, `per-row: date, deficiency, status, accessionNumber, verification.confidence`, `requestId`. When requesting the compact agent view, keep its returned fields and requestId. Retain traceparent only from standard-response body or HTTP-header context when present; the compact agent view does not include it. Return a concise markdown summary and the structured fields needed for the next step without filling in missing disclosure data.
</Prompt>

## Failure posture

* retain notice date, status, source accession, and verification
* do not present the result as live exchange status
* verify later notices before concluding a deficiency is unresolved or resolved