Compliance & Licensing – Page 11 – Equity Services, Inc

Field Notices 2020-25 & 2020-26 Written Supervisory Procedures Updates

FN2020-25: ESI Written Supervisory Procedures Update FN2020-26: EFA Written Supervisory Procedures Update TC115675(0720)1

Beth KnoxJuly 15, 2020

Compliance & Licensing

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 15, 2020

Compliance & Licensing Operations

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI New Resource Spotlight: New Forms Grid

A new document - Reg BI - Paperwork Requirements Based on Recommendations– provides a quick reference overview of forms necessary when making a recommendation…

Beth KnoxJuly 6, 2020

Compliance & Licensing

Reg BI Spotlight: New Training and Reference Resources

Reg BI: Where do I start?ESI has provided training resources in multiple formats to help you get up-to-speed quickly. Below is a suggested training…

Beth KnoxJune 23, 2020

Compliance & Licensing

Recent Reg BI Related Field Notices

FN2020-20: No-Load Mutual Funds and Exchange-Traded Funds (ETFs) FN2020-21: Reg BI Sales Contest Incentives TC115293(0620)1

Beth KnoxJune 23, 2020

Compliance & Licensing Training

Regulation BI Mandatory and Supplemental Training

Mandatory Comprehensive Reg BI Training Now Available Through FIRE Solutions (“FIRE”) – Field Notice 2020-Registered Representatives and certain Home Office personnel must complete the…

Beth KnoxJune 16, 2020

Compliance & Licensing Operations

Reg BI: Preview of Upcoming Forms Changes

With the implementation of Reg BI, ESI has created several new forms to comply with the new requirements, most significant of which are the…

Beth KnoxJune 16, 2020

Compliance & Licensing

Regulation BI Disclosure and Form CRS Training

The fourth module in ESI’s training series regarding Regulation Best Interest (“Reg BI”), the landmark regulation set to go into effect on June 30,…

Beth KnoxJune 9, 2020

Compliance & Licensing

Field Notice 2020-16: Video Conferencing for Seminars

Recently issued Field Notice 2020-06 outlined requirements for Registered Representatives (“RRs”) and Investment Adviser Representatives (“IARs”) to utilize WebEx or Zoom when conducting group…

Beth KnoxJune 9, 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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