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| NEB Strengthens Member of the Month Program |
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The National Ethics Bureau (NEB) has enhanced its Member of the Month program to provide a higher level of recognition to qualifying members and their respective marketing organizations.
Effective February 1, 2008, advisors selected as Member of the Month will:
- Be spotlighted in an advertisement to be published in Senior Market Advisor, Boomer Market Advisor, or | Continued »
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“The Future of Life Settlements” is unveiled in latest TrendWatch podcast, sponsored by NEB and ProducersWEB.com.
SAN DIEGO, CA, January 3, 2008—Financial professionals seeking guidance on the evolution of the life settlement marketplace will get answers by listening to “The Future of Life Settlements,” the latest podcast in the Trendwatch series sponsored by the National Ethics Bureau and ProducersWeb.com.
The podcast is free and available for listening at www.TrendWatchPodcast.com, along with three earlier podcasts on annuities, designations, and long-term care.
“Life settlements have expanded dramatically in recent years,” says Steven R. McCarty, NEB Chairman. “But will growth continue in the future? That’s what we discuss in this podcast.”
The podcast features Scott Kirby, Co-President of Advanced Settlements; Brad Strickland, Senior Vice President of Melville Capital Life Settlements; and Mike Quinn, Executive Vice President of Cielo Life Settlement. Trends discussed include positive developments for consumers and advisors, today’s suitability issues, and new opportunities in a maturing market. | Continued » |
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The National Ethics Bureau™ (NEB) is a membership organization of financial professionals who have successfully passed a comprehensive background check and have agreed to maintain NEB membership standards. All members are admitted into NEB’s national registry, which consumers can access free of charge to verify a member’s approval status.
NEB also advocates for business ethics and consumer protection through its trade-magazine columns, conference presentations, consumer guides, monthly Ethics Edge newsletter, and web site www.ethicscheck.com.
NEB is not a financial designation or marketing organization. It does not sell or endorse any financial products. Nor does it receive financial considerations from its members or other entities who sell such products.
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NEW: Monthly podcast that features interviews with top industry experts on current trends in the financial Services Industry.
Click here to register...
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NASAA Updates Investment Advisor Best Practices |
| January 2008 |
The North American Securities Administrators Association (NASAA) has issued an updated set of best practices to help investment advisors stay in compliance. Given the current regulatory environment, advisors should take these guidelines seriously.
NASAA President and North Dakota Securities Commissioner Karen Tyler said the best practices were developed after a nationwide series of coordinated examinations of investment advisers by 43 state and provincial securities examiners revealed a significant number of problem areas. Tyler said 418 examinations of investment advisers were conducted between January 1, 2007 and May 31, 2007. These exams revealed 2,135 deficiencies in 13 compliance areas. | Continued » |
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Googled to Death: Keeping Your Reputation Alive |
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You’ve seen the articles. A financial professional makes a mistake and gets cited by the NASD, SEC, or state regulator. A major newspaper catches wind, interviews the victims, and publishes a front-page story in print and online that shakes the industry.
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In the pre-Internet era, such articles would hit the newsstand (remember those?), cause a furor, and then fade away. The producer and companies would lick their wounds and return to business as usual. However, with the advent of the Internet and Google, such articles can be the kiss of death—for one’s reputation and business. Consider this: Whenever the media says something negative about you online, it will be available forever —to anyone, anywhere who knows how to use Google.
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| Write a Powerful Profile for Maximum Impact |
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Did you know that as an NEB member, you can publish a Professional Profile on the NEB web site? If you haven’t posted your profile yet, consider doing so soon. If you have already, give it another look to make sure it’s current.
Why post a profile? Because when prospects come to our site to verify your background, they can view two documents: your NEB Certificate of Approval and your Professional Profile. Once they confirm your approval status by viewing your Certificate, they will also want to learn more about you. If you don’t post a profile, you will lose an opportunity to make a positive impression with prospects. | Continued » |
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Driven to Learn...and to Teach. |
Some people love to learn. Others love to teach. And some—like Robert Arnold—love to do both. This explains Arnold’s success as an estate planner with Dottenwhy Financial Group, LLC, in Wausau, Wisconsin—and tells you a lot about the man.
Arnold’s passion for learning and teaching is obvious as he explains how he transitioned from a product development career in manufacturing to his current career helping seniors protect their retirement assets.
Arnold grew up in Orrville, Ohio, a small farming community that was home to the |
J.M. Smucker Company (maker of jellies, jams, and preserves). Because his cousin and he were born 12 days apart, his father and uncle (who was in the military) decided to raise the two boys as brothers. As a result, Arnold spent a lot of time visiting military bases in other states—and learning a lot about America, as | Continued »
Become NEB's next Member of the Month! (click here) |
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Contact us: Phone: (800) 282-1831 | www.ethicscheck.com
Copyright © National Ethics Bureau 2007. All Rights Reserved. |
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