Compliance & Licensing

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…

The securities industry has recently seen some SEC enforcement cases which involved multi-million-dollar fines related to the failure of certain firms to capture all…

Compliance with the Securities Exchange Commission’s (“SEC”) new Marketing Rule (“Rule”) will be required on November 4, 2022.  Below are some highlights of what…