Serving the Municipal Bond Market with Cutting-Edge Business and Compliance Solutions

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Best in Class 15c2-12, Time-of-Trade, Suitability, Surveillance, Best-Execution and MA Rule Solutions.

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Drive New Business, Enhance Client Service and Increase Efficiency.

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Free analysis and articles. Commentary on timely topics of interest, white papers, articles and more.

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What Our Clients Are Saying

“DIVER Underwriter is just the 15c2-12 platform we need to streamline work across our multiple offices and ensure all teams are compliant.”

“I knew you all did a lot at Lumesis, but I’m still amazed at the depth of evaluation you do!  Your response time, depth and accuracy, and breadth of knowledge is impressive.”

“DIVER Municipal Bond Reports are best in class and instrumental in our G-47 compliance.”

“Lumesis has been a wonderful partner, not only in respect to implementing the DIVER Solution but also with on-going support.”

“DIVER Underwriter blows the competition out of the water.”

“The amount of time spent doing our due diligence has been significantly reduced because of DIVER…make us more efficient and eliminated stress for our staff.”

  • 15c2-12 Best Practices and New Amendments Review

    It started with the SEC’s MCDC initiative and Cease and Desist Orders, then it was the resulting enhanced scrutiny of underwriters and now it’s amendments to Rule 15c2-12.  Each has further emphasized the importance of ensuring a complete understanding and management of disclosure […]

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