Overview

Compliance teams operate under constant regulatory pressure, especially in municipal and credit markets where disclosure and fair pricing rules are strict. SOLVE provides the secondary market pricing, predictive trade pricing, and structured data needed to meet obligations under rules such as MSRB G-47, G-18, and SEC Rule 15c2-12 — with defensible, timestamped evidence for audits, supervision, and client disclosures.

With broad fixed income coverage and continuously updated data, SOLVE delivers the clarity and consistency compliance teams need to monitor activity, document diligence, and ensure accountability across the firm.

SOLVE Regulatory Compliance Fact Sheet

Access best-in-class analyses to support SEC Rule 15c2-12 Reasonable Diligence obligation and more...

View Regulatory Compliance Fact Sheet

The Challenge

  • Heavy regulatory requirements

    Time-of-trade disclosures, disclosure diligence, and fair pricing obligations require extensive documentation.

  • Fragmented data

    Reliance on unstructured messages makes it difficult to provide verifiable audit trails.

  • Manual processes

    Preparing lookbacks, audit packs, and supervisory reports consumes valuable resources.

  • Audit pressure

    Regulators and internal oversight demand transparency and consistency in pricing methodologies.

How SOLVE Helps

  • Simplify Regulatory Monitoring

    Automatically surface continuing disclosures, material event notices, and primary market filings under SEC Rule 15c2-12. Track updates in near real time with structured data extracted directly from EMMA and issuer disclosures.

  • Standardize Time of Trade Documentation

    Capture and timestamp pre-trade data, quotes, and confirmations to satisfy FINRA Rule 2232 (Time-of-Trade disclosure) and best-execution review. Maintain a defensible audit trail across all transactions.

  • Verify Pricing and Fair Value

    Use SOLVE’s New Issue Pricing and Secondary Market Pricing data to validate trade levels and fair-value determinations. Support pricing transparency across both new offerings and secondary trades.

  • Strengthen Oversight & Audit Readiness

    Generate standardized reports and data extracts for supervisory review and regulatory submissions.
    Access structured quote and trade histories through SOLVE’s searchable compliance tools and APIs.

Clarity in Numbers

1.1M+

Municipal bonds covered with secondary pricing data

900,000+

AI-driven predictive trade prices (Px) for munis

Use Cases

  • Time-of-trade disclosures

    Provide clients and regulators with defensible pricing inputs in line with G-47 requirements.

  • Audit & supervision packs

    Automate reporting workflows with consistent, verifiable documentation for internal and external audits.

  • Issuer disclosure checks

    Support 15c2-12 diligence with broad, transparent market data.

  • Supervisory oversight

    Apply standardized, data-driven methodologies across desks to reduce compliance risk.

Relevant SOLVE Solutions

  • 15c2-12 Analysis

    Automated aggregation and tagging of issuer disclosures, financial filings, and event notices to meet SEC Rule 15c2-12 obligations.

  • Time of Trade Disclosure

    Timestamped trade data and quote capture to support FINRA 2232 compliance and internal audit processes.

  • New Issue Pricing

    Access issuance and underwriting data to validate offering levels, manage primary-market oversight, and benchmark execution quality.

  • Secondary Market Pricing

    Transparent post-trade pricing and liquidity data across 900 K+ municipal securities for ongoing market surveillance.

Clarity Powered Through
Millions of Data Points

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Compliance Teams