Beth Knox – Page 4 – Equity Services, Inc

Selling Away

Let’s take a look at what constitutes as “selling away” and what are some defined examples. Private Placements and Private Securities Transactions Registered Representatives…

Beth KnoxDecember 23, 2025

Compliance & Licensing

Compliance Submissions Made Easy

We’re excited to share a new improvement in how you submit and track key compliance items. Marketing Reimbursements, Training Attendee Certifications, and Day Meeting…

Beth KnoxDecember 23, 2025

Compliance & Licensing

Compliance Calendar

There are some important dates and deadlines that you don’t want to miss. Past: October 30 - Continuing Education Requirements Deadline October 30 -…

Beth KnoxDecember 23, 2025

Compliance & Licensing

Important Reminder on Outside Business Activities (OBAs)

All OBAs are required to be disclosed and approved before engaging in the activity. You must also notify your supervisor and ESI of changes to,…

Beth KnoxDecember 23, 2025

Firm Update

Happy Holidays from ESI!

As the year comes to a close, we thank you for the dedication, professionalism, and care you bring to your work every day. Your…

Beth KnoxDecember 16, 2025

Best Practices Training

Dynamic Hedging Webinar with Allianz

You are Invited Webinar: Dynamic Hedging Presented by Allianz, Hosted by ESI Thursday, December 11th 2:00 PM Eastern Time Register Discover how Allianz’s in-house…

Beth KnoxDecember 1, 2025

Firm Update Operations

Plan Ahead for NYSE and ESI Holiday Hours

Please plan ahead for NYSE and ESI Call Center Holiday Hours 12/24 – NYSE open until 1:00 – ESI phones close at 2:00 EST…

Beth KnoxDecember 1, 2025

Product

Brighthouse Financial to be acquired by Aquarian Capital

Brighthouse Financial has entered into a definitive agreement to be acquired by Aquarian Capital, a diversified global holding company with a strategic portfolio of…

Beth KnoxDecember 1, 2025

Technology

Ace Commission Portal Annual Testing Closure 12/6 – 12/7

Due to Broadridge's annual disaster recovery testing, the Ace Commission portal will be unavailable from Saturday, December 6th through Sunday, December 7th. Regular availability…

Beth KnoxDecember 1, 2025

Best Practices Operations

Suitability Spotlight: Case Preview Best Practices

As part of our ongoing efforts to improve efficiency and reduce delays, we encourage all registered representatives to preview certain new business submissions with…

Beth KnoxNovember 18, 2025