Compliance & Licensing

A trusted contact can be an important safeguard for your clients. A simple conversation today can help protect a client when circumstances change tomorrow.…

Here are some important upcoming Compliance dates to remember. CE Deadline: October 30 Branch Exam Deadline: October 30 Renewal Deadline – October 30 Quarterly…

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) can create significant regulatory, financial, reputational, and customer-protection risks. Representatives should remember that all OBAs…

As part of ESI’s ongoing efforts to keep you informed, we wanted to highlight the continued rise in senior financial exploitation and the important…

Field Notices 2026-01 and 2026-17 explain this year’s continuing education program and how to access the various elements.  Regulatory Element training is available through your FinPro…

We’d like to share a quick reminder to help support you and your clients. We’ve observed instances where the statement for the account being liquidated to fund…

We are sharing an important regulatory update regarding the SEC Section 31 Activity Assessment Fee, which will impact certain securities transactions beginning in April.…