Operations – Equity Services, Inc

Best Practices Compliance & Licensing Operations

Get Ready: New Best Interest Supplemental Worksheet for NFS Brokerage and ESI Illuminations Business

We are pleased to announce the release of an updated Best Interest Supplemental Worksheet (BISW) for NFS Brokerage and ESI Illuminations business. The updated…

Beth KnoxJuly 7, 2026

Best Practices Operations

Multi Account Opening eSign Best Practices

With the transition to FMAX earlier this year, ESI introduced the ability to open multiple accounts within a single proposal and send them together…

Mallorie ManoshJuly 1, 2026

Firm Update Operations

Register Now: Bank Deposit Sweep Program Advisor Overview

ESI is introducing a new Bank Deposit Sweep Program (BDSP) for eligible brokerage accounts. Join us for a high-level overview of this important enhancement…

Mallorie ManoshJuly 1, 2026

Best Practices Firm Update Operations

Coming Soon: Bank Deposit Sweep Program

We are pleased to announce an upcoming enhancement to our brokerage platform: the introduction of ESI's Bank Deposit Sweep Program (BDSP). The primary purpose…

Beth KnoxJune 25, 2026

Operations Product

Jackson Market Link Pro 4 Approved

ESI is pleased to announce that Jackson Market Link Pro 4 has been approved and is available as of June 8, 2026. Market Link…

Beth KnoxJune 9, 2026

Firm Update Operations

Updated ERISA Disclosure Guidance Now Available

To help ensure the correct documentation is used for qualified plan business, ESI Suitability has updated its guidance regarding ERISA Disclosure and Agreement requirements.…

Mallorie ManoshMay 29, 2026

Operations

Updated Guidance: Mutual Fund Platform Fee Disclosure Requirements

We are re-issuing this notice originally circulated in 2025 to ensure you have the most accurate and up-to-date information. Recent changes adopted by vendors…

Beth KnoxMay 12, 2026

Operations

Completing the NFS Suitability Section: Guidance for Accuracy and Consistency

The NFS Application requires capturing a wide range of client data points. We recognize that the Suitability Section can be difficult to complete consistently,…

Beth KnoxMay 5, 2026

Operations

Postmark Changes and IRA Contribution Deadlines

As we approach the tax filing deadline, we want to make you aware of an important operational change from the U.S. Postal Service (USPS)…

Beth KnoxApril 2, 2026

Compliance & Licensing Operations Product

Suitability Spotlight: Class A Share Redemptions

Key Considerations for Client Best Interest Recently, we’ve observed an increase in redemptions of Class A mutual fund shares within a short period after…

Mallorie ManoshMarch 26, 2026