Compliance Solutions

DIVER delivers technology, data and information solutions helping firms efficiently meet evolving regulatory changes in the muni market.

How Are You Managing 15c2-12 Compliance?

DIVER is the industry-leading 15c2-12 solution. Designed to help Underwriters, Issuers, Muni Advisors and Law Firms efficiently perform their required due diligence and manage disclosure obligations.

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Are You Advising Retail or Non-SMMP Clients?

Our clients use DIVER Advisor to satisfy MSRB Time of Trade Disclosure (G-47), Supervision (G-27) and Suitability (G-19) rules for all new issue and secondary municipal bonds for retail and non-SMMP clients. Advisor is integrated into your workflow – it is available standalone and through all ATS platforms, Ipreo, leading clearing firms and more.

Learn More About our G-47 Time of Trade Solutions

How Are You Managing Time-of-Trade and Best-Ex?

DIVER Advisor and Price Comp module are the result of collaborative input from market participants and regulators to support evolving regulatory needs. Advisor was designed to help firms address MSRB Time of Trade Disclosure (G-47), Supervision (G-27) and Suitability (G-19) rules when trading municipal bonds. Price Comp is a module available to help firms address the MSRB’s Best Execution Rule (G-18) requirements by identifying comparable bonds and provides simple storage and recall of your results.

Learn More About our G-47 Time of Trade Solutions

Looking for a Supervision or Suitability Solution?

DIVER Advisor is the result of collaborative input from market participants and regulators to support evolving regulatory needs. It helps firms address MSRB Supervision (G-27) and Suitability (G-19) rules when trading municipal bonds. It is also used by institutions with Bank Clients to address the Dodd-Frank Standard of Creditworthiness.

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