Compliance & Licensing – Page 8 – Equity Services, Inc

Coming Soon: NFS Quarterly Surcharge for Physical Confirmation and Statements!

In the 3rd quarter of 2021, National Financial Services, LLC. (NFS) will begin assessing a quarterly surcharge for the physical delivery of client trade…

Beth KnoxJuly 20, 2021

Compliance & Licensing

Recent WSP and ADV Part 2A Updates

Field Notice 2021-20: Form ADV Part 2A UpdateEffective July 1, 2021, ESI Financial Advisors (“EFA” or “the Firm”) updated its Form ADV Part 2A…

Beth KnoxJuly 13, 2021

Compliance & Licensing

Take Note: Fraudulent Phishing Emails from the Virginia Division of Securities and from FINRA

Hello, Last week ESI received two notifications (from the Virginia Division of Securities and from FINRA) on fraudulent phishing email purporting to be from…

Beth KnoxJune 29, 2021

Compliance & Licensing Technology

Entreda Unify Replaces Brite

Cybersecurity continues to be a top priority at ESI and National Life. To comply with customer privacy regulations, all field registered representatives (“RRs”) and…

Beth KnoxJune 22, 2021

Advisory Solutions Compliance & Licensing

COMING SOON! Collect Up to 100% of Financial Planning and Consulting Fees In Advance!

In the past, EFA limited the pre-payment of planning/consulting fees to no more than 50% of the total fee charged. But the field has…

Beth KnoxJune 15, 2021

Compliance & Licensing

Do You Hold Digital Assets in Outside Accounts?

Digital assets, such as cryptocurrencies and initial coin offerings (ICOs), generally share the following features: A virtual currency/token/coin is a digital representation of value…

Beth KnoxJune 15, 2021

Compliance & Licensing

Recent Field Notice Recap

REMINDER: Political Contributions – FN2020-13FINRA Rule 2030 and SEC Rule 206(4)-5 (collectively, the “Pay-to-Play Rules”) place restrictions on broker dealers and investment advisers in…

Beth KnoxJune 8, 2021

Compliance & Licensing

Guidance for Working with Senior Investors

FINRA views protection of senior investors, as well as Baby Boomers who are at or approaching retirement, as a top priority. As people age,…

Beth KnoxMarch 30, 2021

Compliance & Licensing Operations

Reduction in ESI Transaction Fees & Updated Account Fees Service Fees on ESI Brokerage Accounts

Executive SummaryESI recently re-negotiated its clearing arrangement with National Financial Services (NFS) under which ticket costs on traditional brokerage accounts and its legacy advisory…

Beth KnoxMarch 23, 2021

Compliance & Licensing Operations

Cybersecurity

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

Beth KnoxMarch 23, 2021

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

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