In the Loop: Latest News & Insights

June 5, 2025 | Issue 3-25

Off-Channel Communications

"Can I text my clients?" "What if my clients text me?" "Can I chat with my staff via Teams?" "Can I use What's App when I'm on vacation?"

If you ever asked yourself these or similar questions, we have answers for you! Click below to read the full article about what is and isn't compliant when it comes to off-channel communications.

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Travel Abroad

Are you traveling abroad? Has a client informed you that they are traveling abroad?

As we enter the busy summer travel season, you may have these and other questions around doing business and communicating with clients while abroad.

Click the link below to explore the most current guidance for common travel abroad scenarios. And...bon voyage!

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Prosperity Advisors Financial Advisors Brad Hemmer, William Easley, and Doug Lindley taking in the sights at COE.

2025

Circle of Excellence

We would like to recognize our members who qualified for the 2025 Circle of Excellence conference. COE celebrates the top 200 reps with Cetera Advisors, and we are excited for those who achieved this honor. Cheers to all of you! View the list of COE qualifiers HERE.

LEAD CALL - JUNE 13th

Megan Reed, from the Prosperity Network operation’s team, co-leads a monthly call with Cetera for support staff and solo practitioners called LEAD (Learn, Excel, Advocate, & Develop). This month, Dianne Eggert will be speaking on Tips and Tricks to Prepare for an Audit. The call will be held on June 13^th at 11am CST. We hope you will join this call! You can register here:

FINRA Rules and Policies - Do They Really Matter?

May 2025 FINRA Real-World Discipline Examples

If you ever wonder whether all the rules and policies really matter, they DO! Let's look at some recent FINRA enforcement cases.

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NEW - Jump! AI Tool

Have you heard about the brand-new, approved AI meeting assistant for financial advisors?

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Social Media Guide

Ever wondered what you can and cannot do with social media? Click HERE for our full article on social media usage.

Also, we have created a simple social media chart to help guide you.

Click on the image to the right to get it >>>

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Cetera is under separate ownership from any other named entity.

For internal use only.