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NEB Publishes
New Resource for Compliance Officers
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With the industry tightening up its use of designations and other credentials, you may have had to answer questions about NEB from your compliance department. To help members better explain what NEB is and isn’t, we have published a comprehensive list of frequently asked questions. To access this list, go here.
It’s understandable that compliance officials are more cautious these days about approving field use of credentials. This is a good thing. But it’s also important that compliance professionals not make decisions about NEB membership on the basis of incorrect or incomplete information. | Continued » |
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National Ethics Bureau Supports Adoption of NASAA Designation Rule to Protect Senior Investors.
SAN DIEGO, CA, May 14, 2008—The National Ethics Bureau, a membership organization of background-checked financial professionals, supports the North American Securities Administrators Association’s (NASAA) model rule prohibiting misleading use of designations in the sale of investment products to senior investors. | Continued »
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The NEB Publishes Guide for Financial Services Organizations Wishing to Promote Ethical Business Practices
SAN DIEGO, CA, April 14, 2008—Financial services organizations that want to do their part to promote ethical business practices have a new resource available: the National Ethics Bureau’s Sponsorship Guide. | 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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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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Regulators Target
Medicare Advantage
Sales Practices |
| May 2008 |
If you sell Medicare Advantage plans or advise your clients about buying them from other agents, watch out. That’s because regulators and lawmakers are zeroing in what they believe are abusive sales practices and even considering supplementing federal oversight of the market with a limited grant of authority to states.
This comes in the wake of ongoing media coverage about alleged abusive sales practices with Medicare Advantage fee-for-service plans. Last summer’s New York Times article (5/7/07) cited cases where agents used hard-sell tactics to pressure seniors into buying these products, even going so far as switching them out of traditional Medicare without their permission. | Continued »
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Drive (High Speed) to Success |
Welcome to the Internet autobahn, where information zooms from carriers, to advisors, to FMOs, to regulators, to the media, to clients, and back again . . . in seconds. It’s a world that has rendered the following excuse obsolete, “No one told me that.”
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On the Internet, information is plentiful and 100 percent accessible. Those who know where to find it—and leverage it—accelerate past those who don’t (who sputter along in the breakdown lane.).
We are only beginning to understand the full impact of this transformation. But one thing is clear: being able to get the answers you need—when you need them—is a wonderful marketing opportunity. It can literally shift your | Continued »
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Join the Flight to
Quality Credentials |
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Putting your name and picture on a book or article you haven’t written can be a dicey proposition in today’s environment. But if you have a strong background and are an NEB member, why would you? You don’t need to hype your credentials. You just need to communicate the strengths you already have . . . your experience, knowledge, commitment to client service, and successful passing of NEB’s background checks. | Continued »
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A Moral Beacon
Through the Years
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Charlotte Beckner, owner of Beckner Insurance Services in Redlands, California, has been in financial services for nearly 30 years. Even though her life has had its twists and turns, her ethical values have always kept her on the right path. To what does she attribute this? The wisdom of her mother, Rose.
Beckner grew up on a farm in rural Kentucky. Her Dad died when she was only seven. So life was tough. But Rose taught her daughter important values that have guided her ever since. |
First, she learned about the importance of tenacity. “My mother always said you have to stick to it,” Charlotte says. “If you’re harvesting a crop, you work until that crop is finished. If an equipment part breaks, you keep working until it’s fixed.”
In addition to tenacity, Beckner credits her mother with imparting strong moral values. “We were fed a steady diet of ‘isms,’” Beckner explains. “Quotes from the Bible, Ben Franklin, and Shakespeare.” But the most important “ism” was | Continued »
Become NEB's next Member of the Month! (click here) |
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