Beth Knox – Page 89 – Equity Services, Inc

Operations

IRS Issues Guidance on Waiver of 2020 Required Minimum Distributions (RMDs)

On June 23, 2020, the IRS issued Notice 2020-51 ("Notice") which provides guidance regarding the repayment of required minimum distributions ("RMDs") under the Coronavirus…

Beth KnoxJuly 15, 2020

Advisory Solutions

REMINDER: Advisor as Portfolio Manager – 2020 CE Requirement

On an annual basis, advisors who use ESI’s Flagship Select and/or ESI Directions programs must complete continuing education specific to these programs. This year's…

Beth KnoxJuly 15, 2020

Compliance & Licensing

Field Notices 2020-25 & 2020-26 Written Supervisory Procedures Updates

FN2020-25: ESI Written Supervisory Procedures Update FN2020-26: EFA Written Supervisory Procedures Update TC115675(0720)1

Beth KnoxJuly 15, 2020

Compliance & Licensing

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 15, 2020

Prospecting & Marketing

Keeping Momentum in Challenging Times

The third installment of Rep Insights: A Conversation Together featured Nick Pontilena of Integrated Financial Concepts in New Jersey and Travis Ramsdell of the…

Beth KnoxJuly 6, 2020

Product Prospecting & Marketing

Goldman Sachs Select: A Liquidity Solution for Your Clients

Are your clients looking for a liquidity solution that doesn’t involve liquidating their investment portfolios? Securities-based lines of credit, (SBLOC) allow borrowers to access…

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 6, 2020

Advisory Solutions Product

Fidelity Target Allocation Model Portfolio Changes

Click here for important updates regarding change to the Fidelity Target Allocation model portfolios. TC115488(0720)1

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI New Resource Spotlight: New Forms Grid

A new document - Reg BI - Paperwork Requirements Based on Recommendations– provides a quick reference overview of forms necessary when making a recommendation…

Beth KnoxJuly 6, 2020

Operations

Reminder: 4th of July Holiday Hours

In observance of the 4th of July Holiday, ESI will be closed Friday July 3rd. We will be back on-line and ready to help…

Beth KnoxJune 30, 2020