Compliance & Licensing – Page 10 – Equity Services, Inc

Explicit Hold Recommendation Requirements

In June of 2020, ESI updated its Written Supervisory Procedures (WSPs) to accommodate heightened regulatory scrutiny due to comply with the requirements of Regulation…

Beth KnoxMarch 9, 2021

Advisory Solutions Compliance & Licensing Operations

ESI Executive Leadership Quarterly Update – Recording Now Available

Click here for a recording of our last Quarterly Field Update! During the last session, ESI’s Executive Leadership Team reviewed results of Q4 2020…

Beth KnoxFebruary 23, 2021

Compliance & Licensing

New Fiduciary Rule & Updated ADV 2A and 2A-Appendix

ESI ComplianceField Notice 2021-04February 10, 2021 Massachusetts Fiduciary Rule In March 2020, Massachusetts published a new Fiduciary Rule, with an enforcement date of September…

Beth KnoxFebruary 17, 2021

Advisory Solutions Compliance & Licensing Operations Technology

ESI Leadership Field Update: January 2021

Please join ESI’s Executive Leadership Team for our Quarterly Field Update series. In this session, we’ll be reviewing the activities and results of Q4…

Beth KnoxJanuary 12, 2021

Compliance & Licensing

Reminder: Gift Reporting in Star Compliance

We have just closed out 2020, and are putting the finishing touches on the holiday season. Many registered representatives (“RRs”) and associated persons (i.e.…

Beth KnoxJanuary 12, 2021

Compliance & Licensing

Important Form CRS Notice

ESI recently amended its Form CRS (Client Relationship Summary) to remove the reference to specific revenue sharing arrangements, and, instead, refer customers to its…

Beth KnoxJanuary 5, 2021

Compliance & Licensing

You May Have “Noticed” Something in Your Emails…

Lots of important notifications come your way Q4 each year! Have you seen all that have gone out recently? Field Notice 2020-44 2020 Year…

Beth KnoxNovember 17, 2020

Compliance & Licensing Operations Product Prospecting & Marketing

ESI Leadership Q3 Field Update Replay Now Available!

In his first update as President of ESI, we heard from Ata Azarshahi as he reflected on Q3 and shared his early insight on…

Beth KnoxNovember 4, 2020

Compliance & Licensing

U4 Reporting and OBA Reminders

ESI ComplianceField Notice 2020-42October 15, 2020 Form U4 Reporting Reminders FINRA takes timely reporting of U4 disclosures very seriously. They are particularly concerned with…

Beth KnoxOctober 20, 2020

Compliance & Licensing Prospecting & Marketing

Reminders on Use of Social Media

Getting Started with Social MediaLinkedIn, Twitter, and Facebook business pages, are the only permitted social media and must be connected to Hearsay. Hearsay is…

Beth KnoxOctober 13, 2020

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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