Compliance & Licensing – Equity Services, Inc

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

Best Practices Compliance & Licensing Operations Prospecting & Marketing Training

AdTrax Tips & Tricks

Your questions and feedback compiled into Frequently Asked Questions! *A note for our agencies – Feel free to use these articles in your communications…

Mallorie ManoshNovember 5, 2024

Compliance & Licensing

Cash & Non-Cash Compensation Policies

Cash & Non-Cash Compensation Policies When arranging marketing events or attending product offeror meetings where any form of compensation or financial support is received…

Beth KnoxOctober 29, 2024

Compliance & Licensing

Deadline October 30th: Continuing Education Requirements

ESI has instituted one deadline for all assigned CE requirements: October 30th. You are personally responsible for completing your Continuing Education. Continuing education for…

Beth KnoxOctober 15, 2024

Compliance & Licensing Training

Two Months Left to Complete Continuing Education Requirements

ESI has instituted one deadline for all assigned CE requirements: October 30th. You are personally responsible for completing your Continuing Education. Continuing education for…

Mallorie ManoshSeptember 3, 2024

Best Practices Compliance & Licensing Operations

Allianz Business Processing Update

The applications for the Allianz Index Advantage+ products are now available in Docupace and should be used for all new Index Advantage business. If…

Beth KnoxMay 18, 2023

Compliance & Licensing

Reporting of Branch and Non-Branch Locations

FINRA Supervision Rule 3110 outlines certain criteria for branch and non-branch offices, and inspection requirements. During COVID, FINRA offered temporary relief regarding where associated…

Beth KnoxApril 25, 2023

Compliance & Licensing Product

Annuities Funded by 401(k) Rollovers

To comply with Regulation Best Interest and Department of Labor regulations, firm policy requires 401(k) rollovers to be identified as the result of either…

Beth KnoxApril 18, 2023

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

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