Operations – Page 21 – Equity Services, Inc

Reg BI Now In Effect! Here’s a recap of what you need to know.

Regulation Best Interest - or Reg BI - is a landmark regulation that went into effect on June 30, 2020. This new regulation addresses…

Beth KnoxJuly 6, 2020

Compliance & Licensing Operations

Reg BI New Resource Spotlight: New Forms Grid

A new document - Reg BI - Paperwork Requirements Based on Recommendations– provides a quick reference overview of forms necessary when making a recommendation…

Beth KnoxJuly 6, 2020

Operations

Reminder: 4th of July Holiday Hours

In observance of the 4th of July Holiday, ESI will be closed Friday July 3rd. We will be back on-line and ready to help…

Beth KnoxJune 30, 2020

Operations Product

Regulation Best Interest – Slight Modification to Fidelity Core Account Offerings

Effective June 30th, there will be a minor modification to Fidelity Core Account availability for your ESI Brokerage and Illuminations accounts. Default Core Money…

Beth KnoxJune 23, 2020

Compliance & Licensing Operations

Reg BI: Preview of Upcoming Forms Changes

With the implementation of Reg BI, ESI has created several new forms to comply with the new requirements, most significant of which are the…

Beth KnoxJune 16, 2020

Operations

New NFS Annual Standing Payment Instructions Letter

Effective, July 1st, ESI will begin leveraging a new NFS communication to enhance the security of client accounts with existing Standing Payment Instructions. The…

Beth KnoxJune 9, 2020

Operations Product

529 Accounts Now Available in Brokerage

The 529 Plan Brokerage Account Application is now available in Merrill Forms and Quik/Docupace. Docupace Starting Point Forms kits have been established to incorporate…

Beth KnoxJune 2, 2020

Operations Strategic Partners

National Life (NL) Indexed Annuities Now eligible for eSign Through DocuSign!

ESI is continuously working with our top vendors to discuss eSignature acceptance. As a result of these conversations and the lessons learned through a…

Beth KnoxMay 26, 2020

Operations

Check Image Display in Wealthscape℠ & Wealthscape Investor℠

Beginning with the April release of the Wealthscape and Wealthscape Investor portal, users are now able to view and print/save images of checks for…

Beth KnoxMay 26, 2020

Operations

Updates from Fidelity Clearing and Custody Solutions Updates

Revisions to 4311 Welcome Letter, New Account Profile and Revise Account Profile Letters Important Notice 20-59As of May 12, new 4311 Welcome Letter, NAP…

Beth KnoxMay 19, 2020

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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