Compliance & Licensing – Page 2 – Equity Services, Inc

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

Compliance & Licensing

There Have Been A LOT of Field Notices Hitting Your Inbox Lately

All Field Notices can be viewed on the agent portal! Simply log in, click on “Training” and then “Compliance”: From there, you’ll select “ESI…

Beth KnoxDecember 19, 2022

Best Practices Compliance & Licensing Operations

We’re Looking at Annuities Inside Qualified Plans a New Way

Summary Transactions that involve an annuity purchase in an IRA that are funded by an annuity product held in a qualified plan will be…

Beth KnoxDecember 5, 2022

Compliance & Licensing

Give Yourself the Gift of Cybersecurity This Holiday Season

Cybersecurity is the practice of protecting networks, systems, hardware and data from digital attacks. It encompasses everything pertaining to protecting sensitive data - personally…

Beth KnoxDecember 5, 2022

Compliance & Licensing

In Case You Missed Them

CybersecurityCybersecurity is the practice of protecting networks, systems, hardware and data from digital attacks. It encompasses everything pertaining to protecting sensitive data - personally…

Beth KnoxNovember 15, 2022

Compliance & Licensing

Have you done your ACM and Firm Element Yet?

Both the 2022 Annual Compliance Meeting (“ACM”) and the 2022-2023 Firm Element continuing education (“CE”) program are available in RegEd for all Registered Representatives…

Beth KnoxNovember 8, 2022

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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