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Compliance & Licensing

Live Training: Get Started with the Global Relay App (Text + WhatsApp + Voice) Compliance & LicensingTechnologyTraining

Live Training: Get Started with the Global Relay App (Text + WhatsApp + Voice)

Live Training: Get Started with the Global Relay App (Text + WhatsApp + Voice) Following the recent announcement that WhatsApp is now approved for…
Mallorie Manosh
Mallorie ManoshFebruary 26, 2026
New! Automate Follow-Ups with Calendly + Outlook Workflows Compliance & LicensingTechnology

New! Automate Follow-Ups with Calendly + Outlook Workflows

Scheduling a meeting is only the first step. Now you can automate what happens next.    ESI is pleased to announce an enhancement to our Calendly scheduling…
Mallorie Manosh
Mallorie ManoshFebruary 10, 2026
ESI Expands Digital Communication: WhatsApp Now Approved Compliance & LicensingFirm Update

ESI Expands Digital Communication: WhatsApp Now Approved

Now Available: WhatsApp for Compliant Business Messaging At ESI, we’re continually evolving to meet advisors and clients where they are—while maintaining the highest standards…
Mallorie Manosh
Mallorie ManoshJanuary 27, 2026
AdTrax Helpful Reminders Compliance & LicensingProspecting & Marketing

AdTrax Helpful Reminders

We recently marked the one-year anniversary of using AdTrax, and during this time, we've successfully reviewed 10,277 submissions. The Advertising Guidance Team (AGT) sincerely…
Beth Knox
Beth KnoxJanuary 8, 2026
AdTrax Turnaround Times Compliance & Licensing

AdTrax Turnaround Times

Let’s take a look at the number of AdTrax submissions received in the months of June through August and the average turnaround times. Submissions…
Beth Knox
Beth KnoxDecember 23, 2025
Compliance Reminders Compliance & Licensing

Compliance Reminders

Here we will discuss a few FINRA enforcement actions carried out in our industry that show why staying compliant is so important for you…
Beth Knox
Beth KnoxDecember 23, 2025
Compliance Corner: Meet Misty Dodson Compliance & Licensing

Compliance Corner: Meet Misty Dodson

Misty Dodson joined National Life Group in May 2018 and currently serves as Vice President of Compliance, where she leads the Registration and Surveillance…
Beth Knox
Beth KnoxDecember 23, 2025
Selling Away Compliance & Licensing

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 Knox
Beth KnoxDecember 23, 2025
Compliance Submissions Made Easy 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 Knox
Beth KnoxDecember 23, 2025
Compliance Calendar 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 Knox
Beth KnoxDecember 23, 2025
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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.

ESI consumer materials linked in ESI Insight have been approved as printed handouts only unless otherwise noted. These materials may neither be emailed to clients or the public, or be used for recruiting purposes, until they have been reviewed and approved as an email attachment to which "opt-out" and other disclosure language has been added to comply with federal SPAM laws.

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

For Registered Representative Use Only – Not For Use With The Public
TC7606693(0225)3 | Privacy and Legal Information
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