SR-FINRA-2026-004

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2210 (Communications with the Public).  The proposed rule change would allow a member to project the performance or provide a targeted return with respect to a security, a securities portfolio, or an asset allocation or other investment strategy in its communications, subject to specified conditions to ensure these projections are carefully derived from a sound basis.

2022073260701 Taglich Brothers Inc. CRD 29102 AWC vrp.pdf

From June 2020 to present, Taglich Brothers willfully violated Regulation Best Interest by failing to comply with Reg BI’s Conflict of Interest and Compliance Obligations and failed to deliver Form CRS to certain retail investors. In addition to supervisory failures related to the Reg BI and Form CRS violations, the firm also failed to complete annual supervisory control system tests as required, from at least June 2018 to the present. For these violations, Taglich Brothers is censured, fined $60,000, and required to certify its remediation of the issues identified in this AWC...
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