Compliance & Licensing – Page 9 – Equity Services, Inc

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

Compliance & Licensing

American Funds SIMPLE Plus and ADV Updates!

American Funds SIMPLE Plus Plan Recently, American Funds introduced an innovation to their SIMPLE IRA platform: the SIMPLE Plus plan. This new platform allows…

Beth KnoxMarch 17, 2021

Compliance & Licensing

Explicit Hold Recommendation Requirements

In June of 2020, ESI updated its Written Supervisory Procedures (WSPs) to accommodate heightened regulatory scrutiny due to comply with the requirements of Regulation…

Beth KnoxMarch 9, 2021

Advisory Solutions Compliance & Licensing Operations

ESI Executive Leadership Quarterly Update – Recording Now Available

Click here for a recording of our last Quarterly Field Update! During the last session, ESI’s Executive Leadership Team reviewed results of Q4 2020…

Beth KnoxFebruary 23, 2021

Compliance & Licensing

New Fiduciary Rule & Updated ADV 2A and 2A-Appendix

ESI ComplianceField Notice 2021-04February 10, 2021 Massachusetts Fiduciary Rule In March 2020, Massachusetts published a new Fiduciary Rule, with an enforcement date of September…

Beth KnoxFebruary 17, 2021

Advisory Solutions Compliance & Licensing Operations Technology

ESI Leadership Field Update: January 2021

Please join ESI’s Executive Leadership Team for our Quarterly Field Update series. In this session, we’ll be reviewing the activities and results of Q4…

Beth KnoxJanuary 12, 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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