Don’t Miss Your Annual Compliance Meeting and FINRA Regulatory Element CE Deadlines

Deadlines to have your FINRA Regulatory Element CE and Annual Compliance Meeting completed are approaching fast!

November 30, 2023 – Deadline for completing FINRA Regulatory Element CE

December 31, 2023 – Deadline for Annual Compliance Meeting completion

Other Important Dates

2023 Premiere Select Retirement Account Annual Maintenance Fee Cycle
January 5^th, 2023, through January 27^th, 2023 – Liquidation/Write Offs – Accounts with eligible securities will be liquidated to cover uncollected fees or written off and charged to the advisor on record (if less than $25).

Compliance Deadlines
February 28, 2024 – Deadline for Firm Element CE completion

TC137795(1123)1

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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.

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Don’t Miss Your Annual Compliance Meeting and FINRA Regulatory Element CE Deadlines

Previous PostHappy Thanksgiving!

Next PostReminder Regarding Direct Business Transactions