Overview

Being ethical is a quality of heart. Ethical advisors believe in doing what’s right for their clients, 100 percent of the time:

• They don’t believe that ethical sales practices limit their options or opportunities.
• They do believe that being ethical reduces lawsuits, bad publicity, and regulator scrutiny.
• And they know from personal experience that ethical practices make good business sense.

To help advisors do business ethically, the National Ethics Bureau provides the following free resources.

• Our Ethics Pledge helps advisors understand the dimensions of ethical conduct. All NEB approved advisors must agree to its provisions.
• Our Eye on Ethics™ Bulletin motivates advisors to do the right thing.
• Our Red Flag Reminder newsletter provides tips and techniques for managing compliance issues.
• Our Eye on Ethics Award recognizes companies whose policies, deeds, and words have promoted consumer confidence in the financial services marketplace.
• Our Ethics in Action Award recognizes individuals whose lives exhibit an unusually strong commitment to ethical personal conduct.

Learn more about the benefits of admission to the National Ethics Bureau.

Learn about our Rules, Regulations, and Member Agreement.

Apply for membership in the National Ethics Bureau.

Log into the Approved Member page.