Compliance & Licensing – Equity Services, Inc

Compliance & Licensing Technology Training

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 ManoshFebruary 26, 2026

Compliance & Licensing Technology

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 ManoshFebruary 10, 2026

Compliance & Licensing Firm 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 ManoshJanuary 27, 2026

Compliance & Licensing Prospecting & 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 KnoxJanuary 8, 2026

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 KnoxDecember 23, 2025

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 KnoxDecember 23, 2025

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 KnoxDecember 23, 2025

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 KnoxDecember 23, 2025

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 KnoxDecember 23, 2025

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 KnoxDecember 23, 2025