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Dodd-Frank Wall Street Reform and Consumer Protection Act News

As the result of President Obama signing into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) on July 21, 2010, the federal government passed legislation that will affect how financial advisory firms like Ehlers provide advisory services.

The legislation requires a fiduciary responsibility to you by Ehlers – which is how we have always viewed our relationship, which is to act on your behalf with a duty of loyality and a duty of care. The links below direct you to the latest Dodd-Frank Act news to help keep you informed.

Read the latest Dodd-Frank Wall Street Reform and Consumer Protection Act News

GFOA Primer: Municipal Advisor Rulemaking and Issuers

Municipal Advisors to be Subject to New Pay-to-Play Regulations – February 17, 2016

2016 Compliance Advisory for Municpal Advisors – December 1, 2015

National Association of Independent Public Finance Advisors (NAIPFA) Amends Its By-Laws to Become National Association of Municipal Advisors (NAMA) – October 9, 2014

Ehlers Client Alert: MCDC Initiative – August 26, 2014

MSRB Announces New Officers and Board Members for Fiscal Year 2015 – August 6, 2014

SEC Extends MCDC Deadline for Issuers, Tiers Penalty Caps for Underwriters – July 31, 2014

MSRB Education and Outreach Seminar – Chicago, IL – July 29, 2014

Rep. Stivers Pushes SEC To Limit MCDC, Warns of Possible Legislation – July 17, 2014

GFOA Alert: The SEC MCDC Initiative and Issuers – July 7, 2014

MA Overview – July 1, 2014

The Impact of Municipal Advisor Regulation on the Municipal Market – July 1, 2014

What Governments Need to Know About the New Municipal Advisor Rule – July 1, 2014

SEC Seeks Further Enforcement of Municipal Securities Issuers through Self Reporting – June 12, 2014

MSRB Launches New Tool on EMMA to Improve Investor Access to Municipal Securities Pricing Information – June 9, 2014

SEC’s Registration of Municpal Advisors Rule – June 6, 2014

SEC Municipal Advisors FAQs Part 2 – May 19, 2014

GFOA Alert: The MA Rule and Issuers – May 14, 2014

Small Muni Advisors Face Challenges as Rule Looms – April 2, 2014

Municipal Advisor Rule to Change the Municipal Market – February 26, 2014

Municipal Disclosure Practices Receive Scrutiny – January 20, 2014-20-2014

SEC Municipal Advisors FAQs – January 10, 2014

GFOA Issue Brief: SEC Municipal Advisor Rule – November 12, 2013

MSRB Responds to SEC’s Approval of Final Registration Rule for Municipal Advisors – September 18, 2013

Protect Municipal Bonds, by the National League of Cities – August 7, 2013

SEC, FINRA Probing Dealers Over Issuers’ Continuing Disclosure Compliance – May 29, 2013

SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors – April 29, 2013

Mary Jo White Sworn in as Chair of SEC – April 10, 2013

MSRB to Require Dealers to Disclose More Information Regarding Contributions to Bond Ballot Campaigns – April 1, 2013

MSRB Answers Frequently Asked Questions about Expanded Duties of Underwriters – March 25, 2013

MSRB Asks SEC to Approve More Disclosures Related to Bond Ballot Contributions by Municipal Securities Dealers – February 14, 2013

MSRB Publishes 2013 Rule Book – February 4, 2013

MSRB Provides Enhanced Search Capabilities on EMMA Website – January 31, 2013

Securities and Exchange Commission Has Extended the Sunset Date of Rules for Temporary Registration of Municipal Advisors – September 24, 2012

MSRB Expands Toolkit, Including EMMA® Trade Monitor – September 10, 2012

MSRB Establishes New Protections for State and Local Governments – August 9, 2012

Public Comments on SEC Regulatory Initiatives Under the Dodd-Frank Act – February 2, 2012

Six Things to Know When Issuing Municipal Bonds – November 7, 2011

Independent Consultant Issues Report Describing Actions to Implement Regulatory and Administrative Recommendations on the SEC’s Organization – September 12, 2011

MSRB Warns About Application of Federal Securities Laws to Private Placements; “Bank Loans” May Be Municipal Securities -August 3, 2011

MSRB Launches Twitter Feed to Disseminate Municipal Market News – July 11, 2011

MSRB Expresses Concern About Municipal Advisor Registration Compliance and Recommends Municipal Entities Check the Status of Their Advisors – July 5, 2011

MSRB Adopts Dealer Role-Switching Prohibition to Eliminate Conflict of Interest in Municipal Securities Underwriting – May 31, 2011

Read More on the SEC Website

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