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Regulatory Support and Business Efficiencies for the Municipal Market

Comprehensive Municipal Bond Report, Compliance Reporting, Account Monitoring and Credit Information Platform designed to drive business efficiencies and support regulatory needs.

Helps address Time-of-Trade Disclosure, Supervision and Suitability as well as sales and portfolio management obligations (MSRB Rules G-47, G-19 and G-27).


  • Features
  • Benefits & Efficiencies

Municipal Bond Report & Dashboard

Comprehensive Municipal Bond Report Delivers "Material Information Reasonably Accessible"

  • Time-of-Trade Disclosure - MSRB's Rule G-47
  • Suitability - MSRB's Amended Rule G-19 

Compliance Reporting Engine

  • Protects the Firm by Providing a Network-Wide Compliance Infrastructure
  • Ensures Adherence with MSRB, SEC, FINRA and Internal Reporting Requirements

For Credit & Research

  • Efficiently Disseminate Research, Recommendations and Sector-Based Credit Attributes Directly to the Desktops of the Entire Network of Financial Advisors
  • Real Time Information Regarding Advisor Activity Helps Refine Credit Research Focus  

Advisor  Continuing Disclosure Monitoring

Advisor  provides two ways for market participants to receive Continuing Disclosure notifications within minutes of filing with the MSRB. Users are able to track SEC 15c2-12 Continuing Disclosures and Voluntary Disclosures filed with the MSRB using:

  • Real-Time Portfolio Monitoring Dashboard
  • E-Mail Alers for Single or Multiple Portfolios
 

Benefits to Your Company:

  • Protect from Reputational Risk Through Better Control
  • Fact Based Delivery of Information and Data Supporting Compliance with the Latest Regulatory Requirements
  • Dissemination of Credit Research by CUSIP and the Ability to Annex Reports and Credit “Alerts”
  • Comprehensive Backend Tracking, Search and Reporting Platform for Compliance and FINRA Audits/Reviews
  • Central Control of All Credit and Compliance-Related Report Attributes

Benefits to Financial Advisors:

  • Increase Customer Satisfaction
  • Real-Time Alerts on Your Client’s Holdings
  • Rating Changes
  • Critical Issuer Disclosures
  • Market Trade Activity
  • Generate Comprehensive Client-Ready Reports by Simply Entering the CUSIP
  • Provides Protection Pre-and “Time ofTrade” Simple Compliance Process

Benefits to Credit Research:

  • Timely Response to FA Research Requests: Limited Staff and Many Requests can Cause Responses to Take Days
    • DIVER Advisor Delivers Immediate Information
  • Assign Credit Metrics and Data by Sector Along with Relevant Issuer-Based Credit Notes
  • Drive Credit Research – Summary of FA Activity is Made Available in an Easy to Access Credit Administrator Panel
  • Provides Insights by Bond, Issuer, Sector and Geography

The Bond Buyer Web Seminar "Regulatory Requirements and Technology" sponsored by DIVER Advisor

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DIVER Advisor Interface View

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Additional Screen Shots

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