Texas Appoints New Securities Commissioner Jeramy E Heintz What It Means for RIAs Compliance and Oversight Texas Appoints New Securities Commissioner Jeramy E Heintz What It Means for RIAs Compliance and Oversight The Texas State Securities Board has named Jeramy E. Heintz as the new Securities Commissioner, effective immediately. This leadership change follows the retirement of Travis J. Iles, who served the agency for over 20 years. Heintz brings 12 years of experience with

Compliance Alert: Defending Against the Rise of "Deepfake" Financial Exploitation Compliance Alert: Defending Against the Rise of "Deepfake" Financial Exploitation As an RIA, you are the first line of defense for your clients’ financial well-being. While you have long guarded against phishing and social engineering, a new, highly sophisticated threat has arrived: AI-generated deepfake fraud. Regulators, including the SEC and NASAA, have issued urgent warnings regarding the

Protecting Seniors from Deepfake Exploitation: What Financial Firms Need to Know Protecting Seniors from Deepfake Exploitation: What Financial Firms Need to Know Financial firms face a growing threat that targets one of the most vulnerable groups: senior clients. On June 15, 2026, the North American Securities Administrators Association (NASAA) issued a critical alert highlighting a surge in digital exploitation using advanced technologies like artificial intelligence, deepfa

Navigating the SEC's Upcoming Changes to Threshold Calibration and Client Qualifications Navigating the SEC's Upcoming Changes to Threshold Calibration and Client Qualifications The Securities and Exchange Commission (SEC) is implementing important updates to Rule 205-3 that will affect firms using performance-based fee allocations and those managing Section 3(c)(1) private funds. These changes take effect on June 29, 2026, and introduce higher asset and net worth thresholds