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DIVER Advisor is designed to support new and amended rules around Time-of-Trade Disclosure, Supervision and Suitability. Advisor supports supervisory requirements and provides value added tools for Advisors, Traders and Sales Professionals.

A simple to generate, CUSIP-driven reporting module supports adherence to MSRB Rules, the SEA and FINRA examination requirements.

 Gain insights to activity around client positions through real-time notification on dashboards and easily access internal research and recommendations from Credit Analysts.


  • Features
  • Benefits & Efficiencies

For Financial Advisors, Traders, Sales Professionals & Private Wealth Managers

  • Client Ready, Comprehensive Bond Report for all Municipal Bonds in Seconds
  • Protection Through Simple to Generate and Easy to Deliver Client Reports
  • Access Firm-Based Credit Notes and Research
  • Dynamic Dashboard Presents Critical Information About Your Clients’ Accounts

For Compliance & Legal

  • Delivers “Material Information Reasonably Accessible to the Market”
    • MSRB's New Rule G-47 Time-of-Trade Disclosure
    • MSRB's Amended Rule G-19 Suitability
  • Protects the Firm by Providing a Network-Wide Compliance Infrastructure
  • Adherence to MSRB, SEC, FINRA and Internal Reporting Requirements
  • Addresses Supervisory Obligations
    • MSRB Rule G-27
  • Assists in Addressing Regulatory Requirements of Dodd Frank and the OCC

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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