Compliance & Licensing

All OBAs are required to be disclosed and approved before engaging in the activity. You must also notify your supervisor and ESI of changes to,…

Field Notices 2025-01 and 2025-15 introduced this year’s continuing education (CE) program. This notice is simply a reminder that all CE requirements need to…

FINRA recently updated their rep-facing platform, FinPro, making it easier than ever for the user to navigate and view personal securities related information. Updates…

As part of its ongoing surveillance program, ESI monitors client purchases across the various share classes offered in mutual funds. In particular, purchases of…

Equity Services Inc. (ESI) is issuing guidance on handling accounts associated with Marijuana or Psychedelic Related Businesses (MRBs), and Marijuana or Psychedelic Related Persons…

Detached Office Examinations It’s time to begin your 2025 detached office examinations. Field Offices of Supervisory Jurisdiction (“FOSJ”) are responsible for examining all associated…