Compliance & Licensing – Page 2 – Equity Services, Inc

Best Practices Compliance & Licensing Operations

Allianz Business Processing Update

The applications for the Allianz Index Advantage+ products are now available in Docupace and should be used for all new Index Advantage business. If…

Beth KnoxMay 18, 2023

Compliance & Licensing

Reporting of Branch and Non-Branch Locations

FINRA Supervision Rule 3110 outlines certain criteria for branch and non-branch offices, and inspection requirements. During COVID, FINRA offered temporary relief regarding where associated…

Beth KnoxApril 25, 2023

Compliance & Licensing Product

Annuities Funded by 401(k) Rollovers

To comply with Regulation Best Interest and Department of Labor regulations, firm policy requires 401(k) rollovers to be identified as the result of either…

Beth KnoxApril 18, 2023

Best Practices Compliance & Licensing Training

Updates to Documenting Client Reviews

Updates to Documenting Client Reviews Investment Adviser Representatives (“IARs”) must meet with their advisory clients on at least an annual basis to ensure the…

Beth KnoxApril 11, 2023

Compliance & Licensing Operations

Reminder for Annuity Business in Florida

The Florida Department of Financial Services requires specific obligations to be met when conducting annuity business in their state. While the requirements are not…

Beth KnoxApril 4, 2023

Compliance & Licensing Prospecting & Marketing

SEC Marketing Rule FAQ

SEC Marketing Rule Update As announced in Field Notice 2022-31, compliance with the Securities Exchange Commission’s (“SEC”) new Marketing Rule (“Rule”) was effective on…

Beth KnoxMarch 28, 2023

Compliance & Licensing

Revenue Sharing Disclosure Update

In accordance with the annual update requirement of DOL Rule 408(b)(2), ESI has posted its updated revenue sharing arrangement disclosure document to its public…

Beth KnoxFebruary 28, 2023

Compliance & Licensing

Changes to FINRA CE Requirements

Regulatory Element CEEffective January 1, 2023, all registered persons are required to complete FINRA’s Regulatory Element CE by December 31st each year. This represents…

Beth KnoxFebruary 7, 2023

Compliance & Licensing Training

Don’t Miss These Upcoming Webinars and Calls!

ESI 2023 Kick Off CallPlease join ESI’s Executive Leadership Team for our 2023 Kick Off call! We’ll take a quick look back at the…

Beth KnoxFebruary 7, 2023

Compliance & Licensing Training

Secure Act 2.0 Update

Join us for important updates resulting from the Secure Act 2.0. changes to the 10-year rule, who will be impacted by the rules, and…

Beth KnoxJanuary 24, 2023

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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