Compliance & Licensing – Page 11 – Equity Services, Inc

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

Compliance & Licensing

Annual RR Certification Due 10/30/20

How to Complete Your CertificationWatch for an automated email from Star Compliance (noemail@starcompliance.com) announcing that your Annual RR Certification is available. If you are…

Beth KnoxOctober 13, 2020

Compliance & Licensing

Additional Investments in Docupace AND Municipal Bond Transaction Procedures

Rule G-47 requires brokers, dealers and municipal securities dealers (collectively, “dealers”) to disclose to their customers, at or prior to the time of a…

Beth KnoxOctober 6, 2020

Compliance & Licensing Operations Technology

Non-Registered Fingerprinted Person (NRF) Kit Update!

ESI’s NRF kit used to affiliate administrative, non-licensed staff has recently been updated. New to the kit is a fourth page, dedicated to ESI…

Beth KnoxSeptember 15, 2020

Compliance & Licensing Operations

ACE: General Reminder & Accessing Information

This notice is a reminder that all ESI Registered Representatives have online access to view their individual licensing information, as it’s recorded in the…

Beth KnoxSeptember 15, 2020

Compliance & Licensing

Fall is Here, Which Means so is Firm Element!

2020-2021 Firm Element Continuing Education - Field The 2020-2021 Firm Element continuing education (“CE”) courses are now available in FIRE Solutions (“FIRE”) for all…

Beth KnoxSeptember 8, 2020

Compliance & Licensing

FINRA Alerts Firms to Use of Fake FINRA Domain Name

FINRA is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name). One portion of the…

Beth KnoxAugust 18, 2020

Compliance & Licensing

New Data Feeds Available in Star Compliance

ESI has added data feeds from the following firms to its list of available feeds through Star Compliance: Davenport and CompanyKestra Investment ServicesRobinhood Financial…

Beth KnoxAugust 18, 2020

Compliance & Licensing Operations

UPDATE: Form CRS Acknowledgement Requirements

Field Notice 2020-27Field Notice 2020-23: Form CRS Acknowledgement, issued on 6/23/2020, discusses the instances when the new Acknowledgement of Form CRS Delivery is required.…

Beth KnoxAugust 4, 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

For Registered Representative Use Only – Not For Use With The Public
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