All Posts – Page 95 – Equity Services, Inc

Reg BI Spotlight: New Training and Reference Resources

Reg BI: Where do I start?ESI has provided training resources in multiple formats to help you get up-to-speed quickly. Below is a suggested training…

Beth KnoxJune 23, 2020

Operations Product

Regulation Best Interest – Slight Modification to Fidelity Core Account Offerings

Effective June 30th, there will be a minor modification to Fidelity Core Account availability for your ESI Brokerage and Illuminations accounts. Default Core Money…

Beth KnoxJune 23, 2020

Compliance & Licensing

Recent Reg BI Related Field Notices

FN2020-20: No-Load Mutual Funds and Exchange-Traded Funds (ETFs) FN2020-21: Reg BI Sales Contest Incentives TC115293(0620)1

Beth KnoxJune 23, 2020

Product

Four New FIT Single Premium Index Annuities Coming at the End of June!

ESI has now approved the new FIT Single Premium Index Annuities being launched at the end of this month! Paperwork will be immediately available…

Beth KnoxJune 23, 2020

Compliance & Licensing Training

Regulation BI Mandatory and Supplemental Training

Mandatory Comprehensive Reg BI Training Now Available Through FIRE Solutions (“FIRE”) – Field Notice 2020-Registered Representatives and certain Home Office personnel must complete the…

Beth KnoxJune 16, 2020

Advisory Solutions Training

New Training and Updated Marketing Materials for Illuminations

New Training Resource:Help Clients Ease into the Market with Dollar Cost Averaging on ESI IlluminationsDuring times of market fluctuation, investors may choose to take…

Beth KnoxJune 16, 2020

Compliance & Licensing Operations

Reg BI: Preview of Upcoming Forms Changes

With the implementation of Reg BI, ESI has created several new forms to comply with the new requirements, most significant of which are the…

Beth KnoxJune 16, 2020

Training

Upcoming Training and Follow-Up Recordings

Did you miss, “An Update from Lance Reihl and Ata Azarshahi”?June 3rd's leadership update call featured Lance Reihl discussing some exciting enhancements to ESI's platform, his decision…

Beth KnoxJune 16, 2020

Advisory Solutions

Take a Seat…Let’s Chat About Fixed Income

With Treasury yields nearly as low as they can go and the Fed actively buying Treasuries and MBS again, rates are expected to remain…

Beth KnoxJune 16, 2020

Compliance & Licensing

Regulation BI Disclosure and Form CRS Training

The fourth module in ESI’s training series regarding Regulation Best Interest (“Reg BI”), the landmark regulation set to go into effect on June 30,…

Beth KnoxJune 9, 2020