Compliance & Licensing – Page 4 – Equity Services, Inc

Updates about the Direct Transaction Review Process

The ESI Suitability team encourages you to contact us about your upcoming Direct Business transactions so that we may discuss big picture suitability topics…

Beth KnoxJuly 19, 2022

Compliance & Licensing

Cybersecurity Alert from FINRA!

FINRA recently published a Cybersecurity Alert to warn firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and…

Beth KnoxJuly 19, 2022

Compliance & Licensing Operations

New Forms Requirements Now Being Enforced

Compliance with PTE 84-24 took place in December of 2021. It was largely focused on disclosure of third-party compensation from the recommendation to purchase…

Beth KnoxJune 28, 2022

Compliance & Licensing

Are You Following the New Forms Requirements?

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

Beth KnoxJune 22, 2022

Compliance & Licensing

New Forms Requirement is In Effect!

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

Beth KnoxJune 6, 2022

Compliance & Licensing

Don’t Miss This DOL Recap – New Forms Requirements Are In Effect!

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

Beth KnoxMay 31, 2022

Compliance & Licensing

Star Compliance Changes Around Data Feeds and Paper Statements

FINRA Rule 3210 requires that associated persons disclose brokerage accounts held at a member firm other than their employer, which means registered persons must…

Beth KnoxMay 17, 2022

Compliance & Licensing Training

DOL 2.0 Spotlight on Defined Contribution and Defined Benefit Rollover RECOMMENDATIONS

In our DOL communications ESI has discussed the work we are doing to ensure adherence to disclosure and notification requirements set forth as part…

Beth KnoxMay 10, 2022

Compliance & Licensing Operations

Upcoming DOL 2.0 Forms Updates

You may recall in all communications relating to the Department of Labor, ESI has referred to doing business under two Prohibited Transaction Exemptions, also…

Beth KnoxApril 19, 2022

Compliance & Licensing Product

Mutual Fund Switching Activity

Switching is the selling or redemption of one mutual fund with a sales charge to buy another mutual fund with a sales charge. Recommended…

Beth KnoxApril 5, 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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