National Ethics Bureau to Advocate for Ethics at Senior Market Expo 2008
SAN DIEGO, CA, July 08, 2008—The National Ethics Bureau (NEB) is taking its ethics advocacy to the Senior Market Expo 2008, August 20-22, at the Loews Royal Pacific Resort at Universal Orlando®.
The NEB team will be exhibiting at the exposition, which continues to be a major event for producers, advisors, marketing organizations, and carriers serving the senior marketplace. | Continued »
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NEB Provides Free Content to Financial Services Organizations Wishing to Promote Ethical Business Practices.
SAN DIEGO, CA, June 11, 2008—The National Ethics Bureau (NEB), a membership organization of background-checked financial professionals, has developed a new version of its Ethics Edge electronic newsletter for financial services organizations that wish to do their part to promote ethics business | Continued » |
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The National Ethics Bureau™ (NEB) is a leading advocate for business ethics in the financial services industry. NEB promotes ethical business practices through its trade-magazine columns, conference presentations, monthly newsletter, and website content. It also maintains a membership community of background-checked advisors who have agreed to uphold its principles and membership standards.
NEB offers related services such as state-approved ethics and compliance continuing education courses for licensed insurance agents and securities brokers, as well as for those holding accredited designations.
For the general public, NEB provides the ability to purchase a background check on any financial professional prior to doing business.
NEB is not a financial designation, nor does it endorse any products or services offered by its members or sponsors.
For more information, visit www.ethicscheck.com |
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Important Do's and Don'ts for Communicating Your NEB Membership
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How you communicate your NEB membership matters. In the current compliance-driven environment, it’s crucial to use NEB’s branding correctly—and to provide clear and accurate descriptions of NEB to your prospects and clients. Here are six guidelines to follow.
- Do not call yourself an "Approved Financial Advisor." Doing this is dangerous for two reasons. First, regulators these days are hypersensitive about financial professionals calling themselves anything not supported by their training, practices, and license. | Continued »
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FINRA Cracking
Down
on Use of Ghostwritten Material
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| August 2008 |
Are you providing clients with published information about investing that you didn’t actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of ghostwritten material.
According to FINRA, this use must comply with Rule 2210, which prohibits false, misleading, or exaggerated public communications. Materials must also comply with the principles of fair dealing and good faith. FINRA is concerned that using ghostwritten content violates basic standards of public communications. | Continued »
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| Rogue Advisors on Parade |
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Recent crimes and consequences in the
financial services industry.
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Sweat the Excess . . .
for
the Sprint Ahead
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Last month, I floated a contrarian idea: that when the economy begins to slow, it’s time to crack open the champagne. Reason: after years of easy money, speculation, and excess, our economy is now resetting itself . . . and preparing (hopefully) for more rational growth ahead. |
I also suggested that a near or actual recession is a great time to question our assumptions. For example, we should ask ourselves (1) whether we’ve been giving clients ethical advice and (2) whether we’ve been ethically managing ourselves. In my prior column, I addressed the first question. Now let’s turn our attention to the second. | Continued »
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| How to Announce Your NEB Membership |
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If you and your spouse have a baby, would you send out an announcement to friends and family? Of course you would. Good news loves an audience.
The same holds true for your business. When you hire a new employee, earn a professional designation, add a new product or service, or receive an award, it makes sense to spread the word. Yet NEB’s membership survey found that 50% of members did not announce their membership. | Continued »
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A Captain of the
Universe Who Cares |
When Robert Parker Adams was younger, he wanted to be a “captain of the universe”. Today, after 21 years in financial services, he still has high aspirations. But as principal of A Safe Harbor, LLC, he also strives to be a caregiver. And that has made a big difference in the lives of his clients.
To understand how—and why—Adams this transition, let’s flash back a few years. Adams was a typical “small-town boy” growing up outside of Dallas, Texas. |
But he had ambition, along with athletic talent. Both of those qualities got him onto Texas Christian University’s football team. But unfortunately for his grade-point average, he . . . played a lot of football. | Continued »
Note to Members:
Is your commitment to ethics and excellence extraordinary? And are you maximizing your NEB membership to grow your business? If so, and if you would like to be featured in our newsletter, click here. |
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Contact us: Phone: (800) 282-1831 | www.ethicscheck.com
Copyright © National Ethics Bureau Inc. 2008. All Rights Reserved.  |
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