Compliance & Licensing

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…

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…

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…

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

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

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…

Equity Services Inc. (“ESI”) may not retain custody of client assets, including security/stock certificates and funds, or serve in any capacity that gives ESI…