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DIVER Advisor

Retail Time-of-Trade Disclosure (MSRB Rule G-47), Best-Execution (MSRB Rule G-18) and Supervision (MSRB Rule G-27) Tools Integrated Into Your Workflow; Sell-Side Support for New Issues

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Retail Time-of-Trade (MSRB Rule G-47) and Supervision (MSRB Rule G-27) Support

Solves Time-of-Trade regulatory needs and protects the firm from reputational risk

Best Execution (MSRB Rule G-18) Support

Identify comparable bonds and trades to support Best Execution needs

Reporting and Documentation

Configurable Compliance Reports and storage of bond reports supports consistent policies and procedures; reporting tools and audit trail

Bond Report for All Muni Bonds

Dynamic and configurable muni bond reports with the most current data available for all bonds, including new issues

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DIVER Advisor

Learn how Lumesis delivers a solution that offers a simple way to access bond-specific information for Retail Time-of-Trade (MSRB Rule G-47) disclosure and to support sales of new issues.

What DIVER Advisor can do for:

  • MSRB Rule G-47: Retail Time-of-Trade Disclosure
    • Muni bond report for every municipal bond including new issues
    • All information current at time of generation
    • Configurable/Editable company disclosure section and white label for client delivery
  • MSRB Rule G-18: Best Execution
    • Comparable bonds and trades identified with details to support comparability
    • Market views of spread and yield for the observation period, last trade and target bond
    • Store notes and results
  • MSRB Rule G-27 for Supervision
    • Manager and compliance modules for oversight
    • Tracking, storage and retrieval
    • Reporting

  • Muni Bond Reports for Every Municipal Bond
    • All information current at time of generation
    • White label with your logo
    • Configurable and editable disclosure section
    • Supports MSRB Rule G-47 for retail/non-SMMP Time-of-Trade disclosure
  • Support for Best Execution (MSRB Rule G-18)

Resources

Solve Regulatory Needs
Retail Time-of-Trade (MSRB Rule G-47) and Best Execution Compliance (MSRB Rule G-18)
Dynamic and Configurable Muni Bond Reports
Reporting Tools and Audit Trail

“We have been using DIVER Advisor for over eight years. Not only has it addressed our compliance needs, our retail clients ask for the bond report.”

– DIVER Advisor Client

Frequently Asked Questions