Reminder: Bond Mark-up and Mark-Down Schedule Changes Coming on 2/3

Reminder: Bond Mark-up and Mark-Down Schedule Changes Coming on 2/3

We are pleased to announce the introduction of a new schedule for calculating the maximum mark-up or mark-down on Fixed Income transactions, effective February 3, 2025. This update aligns with our commitment to providing competitive, transparent pricing for our clients and ensuring compliance with regulatory standards.

Please review the previously distributed Field Notice 2024-24 and contact the ESI Trade Desk at 1-800-344-7437, option 2, option 3, option 1 with any questions.

To review Field Notice 2024-24, log into the agent portal on NationalLife.com. Once logged in, copy and paste this link into your browser.

Alternatively, you can log into the agent portal and follow these steps:

Click on ESI in top navigation
Select Compliance from the ESI drop down menu
Under ESI Policies and Procedures, select ESI Field Notices
Select 2024
Locate Field Notice 2024-24

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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.

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Reminder: Bond Mark-up and Mark-Down Schedule Changes Coming on 2/3

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