Compliance & Licensing – Page 5 – Equity Services, Inc

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

Compliance & Licensing

Read the Most Recent Version of Compliance Alliance

The ESI Compliance Alliance is a quarterly publication that summarizes industry news and/or regulatory events that may impact our business. The Compliance Alliance focuses…

Beth KnoxApril 5, 2022

Compliance & Licensing

A Note from Ata

It is with mixed emotion that I announce Scott Solod, our Chief Compliance Officer (CCO), has decided to pursue his career outside of National Life…

Beth KnoxMarch 30, 2022

Advisory Solutions Compliance & Licensing

Exclusion of Certain Cash Balances From Advisory Fee Calculations

Effective April 1st, 2022 assets designated as “Protected Cash” on the Illuminations platform and those in a “Holding Money Market” account at SEI, will…

Beth KnoxMarch 8, 2022

Compliance & Licensing

Investment Adviser Representative CE Requirements

Effective January 1, 2022, certain states have adopted rules requiring continuing education (“CE”) for Investment Adviser Representatives (“IAR’s”) registered in their jurisdiction. The states…

Beth KnoxMarch 1, 2022

Compliance & Licensing

Important Reminder Regarding Education and Recommendations

In a previous communication, “What Does It Mean To Be A Fiduciary?”, under the latest change in the Department of Labor’s (DOL) interpretation of…

Beth KnoxFebruary 15, 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.

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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

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