Compliance & Licensing – Equity Services, Inc

Statements Tell the Story…

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…

Mallorie ManoshApril 30, 2026

Compliance & Licensing

SEC Activity Assessment Fee Update – Effective April 2026

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

Beth KnoxApril 2, 2026

Compliance & Licensing Operations Product

Suitability Spotlight: Class A Share Redemptions

Key Considerations for Client Best Interest Recently, we’ve observed an increase in redemptions of Class A mutual fund shares within a short period after…

Mallorie ManoshMarch 26, 2026

Compliance & Licensing Training

Continuing Education is moving to Quest CE!

Effective April 1, 2026, Equity Services, Inc. will transition its continuing education and training platform to Quest CE. This change is part of our…

Beth KnoxMarch 19, 2026

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