Compliance & Licensing – Equity Services, Inc

Compliance & Licensing Firm Update Prospecting & Marketing Strategic Partners

New Quick Reference: Understanding Cash & Non-Cash Compensation

How you’re paid — and by whom — matters. To help make compliance easier, ESI has created a Cash & Non-Cash Compensation Quick Reference…

Mallorie ManoshDecember 11, 2025

Compliance & Licensing

2025 Continuing Education Requirements Reminder

Field Notices 2025-01 and 2025-15 introduced this year’s continuing education (CE) program. This notice is simply a reminder that all CE requirements need to…

Mallorie ManoshOctober 1, 2025

Compliance & Licensing Technology

Field Notice 2025-17: Text Messaging Reminders

SEC and FINRA rules require that all electronic communications, including text messages, be archived and reviewed by the Firm. Accordingly, Global Relay is the…

Beth KnoxAugust 13, 2025

Best Practices Compliance & Licensing

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

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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