All Posts – Page 87 – Equity Services, Inc

U4 Reporting and OBA Reminders

ESI ComplianceField Notice 2020-42October 15, 2020 Form U4 Reporting Reminders FINRA takes timely reporting of U4 disclosures very seriously. They are particularly concerned with…

Beth KnoxOctober 20, 2020

Advisory Solutions

Envestnet: What does history say about diversification during election periods?

Q3 2020 Diversification Scorecard Having trouble seeing this email? View in Browser Diversification and Recent Election Periods Diversification added value over the third quarter. Entering the fourth quarter, the…

Beth KnoxOctober 20, 2020

Operations

BlackRock eSignature is here (temporarily)!

As a result of recent conversations with Blackrock Funds, eSignature through DocuSign and Docupace will now be accepted on new account paperwork. The acceptance…

Beth KnoxOctober 20, 2020

Prospecting & Marketing

Tax-Conscious Investing Resources

With continued market uncertainty and the looming election, clients are reevaluating their financial strategies and Advisors may consider the possibility of a shifting tax…

Beth KnoxOctober 13, 2020

Prospecting & Marketing Strategic Partners

Client Tax Planning Calendar Available from Symmetry Partners

Symmetry Partner's tax planning calendar is now available and includes key tax deadlines and tax planning activities throughout the year. Download it here! TC117455(1020)1

Beth KnoxOctober 13, 2020

Product

Approved, Restricted and Watch List Funds Updated

The Q3 2020 Approved, Restricted and Watch List funds have been updated and are available online. Prior to offering alternative mutual funds, ESI reps…

Beth KnoxOctober 13, 2020

Compliance & Licensing Prospecting & Marketing

Reminders on Use of Social Media

Getting Started with Social MediaLinkedIn, Twitter, and Facebook business pages, are the only permitted social media and must be connected to Hearsay. Hearsay is…

Beth KnoxOctober 13, 2020

Compliance & Licensing

Annual RR Certification Due 10/30/20

How to Complete Your CertificationWatch for an automated email from Star Compliance (noemail@starcompliance.com) announcing that your Annual RR Certification is available. If you are…

Beth KnoxOctober 13, 2020

Operations

Our e-Delivery Raffle is Still Underway! Who Will Win?

To increase our e-delivery client subscribers, ESI is sponsoring a raffle for both registered representatives and non-registered fingerprinted (NRF) persons! Click here for raffle details and…

Beth KnoxOctober 6, 2020

Compliance & Licensing

Additional Investments in Docupace AND Municipal Bond Transaction Procedures

Rule G-47 requires brokers, dealers and municipal securities dealers (collectively, “dealers”) to disclose to their customers, at or prior to the time of a…

Beth KnoxOctober 6, 2020