Compliance & Licensing – Equity Services, Inc

Suitability Spotlight: Annuity Purchase & Exchange Disclosure Form Enhancements

You may have noticed that the Annuity Purchase and Exchange Disclosure (APED) has a new look! We have enhanced almost every page (don’t worry,…

Beth KnoxJuly 8, 2025

Compliance & Licensing

FinPro Facelift!

FINRA recently updated their rep-facing platform, FinPro, making it easier than ever for the user to navigate and view personal securities related information. Updates…

Beth KnoxJuly 8, 2025

Compliance & Licensing

Field Notice 2025-10: Reminder – Suitability of Class C Shares

As part of its ongoing surveillance program, ESI monitors client purchases across the various share classes offered in mutual funds. In particular, purchases of…

Beth KnoxApril 29, 2025

Best Practices Compliance & Licensing

Now Available – Qualified Plan Rollover Education Form

ESI Operations Field Notice 2025-08 Qualified Plan Rollover Education Form Update To streamline your experience, we’ve combined the Defined Contribution and Defined Benefit Education…

Beth KnoxApril 15, 2025

Compliance & Licensing

Field Notice 2025-07 Accounts Related to Marijuana & Psychedelic Businesses & Persons

Equity Services Inc. (ESI) is issuing guidance on handling accounts associated with Marijuana or Psychedelic Related Businesses (MRBs), and Marijuana or Psychedelic Related Persons…

Beth KnoxApril 1, 2025

Compliance & Licensing

2025 Detached Branch Examinations

Detached Office Examinations It’s time to begin your 2025 detached office examinations. Field Offices of Supervisory Jurisdiction (“FOSJ”) are responsible for examining all associated…

Mallorie ManoshMarch 25, 2025

Compliance & Licensing Technology

Field Notice 2025-05 Guidance Regarding Artificial Intelligence (AI)

The development and evolution of artificial intelligence (“AI”) is a prevalent topic in current media, and a source of active debate. While such tools…

Beth KnoxMarch 18, 2025

Best Practices Compliance & Licensing Firm Update

Reminder: Streamlined Blotter Process Now Effective

On Monday, January 6th, 2025, changes were implemented to the Blotter process which help to streamline requirements and reporting. Each Field OSJ and Detached…

Mallorie ManoshJanuary 8, 2025

Advisory Solutions Compliance & Licensing

Reminder: Field Notice 2024-21: Investment Policy Exception Report Updates

Effective January 1st, 2025, ESI Financial Advisors (“EFA”) will change their notification process for accounts identified as being in violation of one or more…

Beth KnoxDecember 12, 2024

Best Practices Compliance & Licensing

Recent Field Notice: Update to 529 Municipal Securities Disclosure Form

Policy changes related to 529 accounts were recently announced in Field Notice 2023- 24. A key driver for the policy update was the expanded…

Beth KnoxDecember 3, 2024

Third party articles are provided for your information only, and have neither been reviewed nor approved to be used with consumers.
Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser. In CO, MO, NH, and WI, Equity Services, Inc. operates as Vermont Equity Services, Inc. National Life Group® is a trade name representing various affiliates, which offer a variety of financial service products.

Equity Services, Inc. • One National Life Drive • Montpelier, VT 05604 • (800) 344-7437 • www.equity-services.com. All third party entities referenced are independent of Equity Services, Inc. unless otherwise stated.

The inclusion of products and/or services in this communication does not constitute authorization to offer products and/or services. Please contact your contracts and licensing department if you are unsure of your ability to offer the products and services mentioned.

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Variable products are sold by a prospectus which contains more complete information. Please have your clients read it and consider carefully the variable product's objectives, risks, charges and expenses before they invest or send money. The prospectus contains this and other information about the investment company.

Third party articles are for information only and have not been reviewed or approved for use with consumers

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