Improving Trust

All-in-one compliance, reporting, and analytics.

S3 is a full service compliance and trade analytics software company providing simple and elegant solutions to address client needs for regulatory reporting, trade surveillance, and best execution analytics, across multiple asset classes. S3’s robust product suite offers exceptional trading analytics technology, and all-in-one regulatory reporting solutions for U.S. and International financial markets.

Who We Serve

S3 products are used today by many of the world’s largest financial institutions including retail broker-dealers, exchanges, bulge bracket and retail banks, as well as mutual funds.

Our Offering

S3 provides simple and elegant solutions to address our clients’ regulatory needs in trade surveillance, execution quality, and reporting, across multiple asset classes,  all in one location. 

Regulatory Reporting Suite

S3’s all-in-one compliance solutions are designed to increase efficiency and ease in meeting regulatory guidelines for trading practices.

Best Execution Trade Analytics

S3 provides exemplary execution analysis through technical innovation

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Trade Surveillance

The information collected by S3 provides insights into where orders are being sent so that any potential conflicts or missteps can be illuminated. Additionally, S3 provides tools to track and report fees and rebates.

Products & Services

SEC Rule 606 Reporting

SEC Rule 606 ReportingEasily and effectively comply with the 2019 SEC 606 order routing disclosure regulations. The Securities and Exchange Commission (“SEC”) announced updates to Rule 606 in an effort to ensure that broker-dealers are acting in the best interest of...

Best Execution Analytics

Best Execution Analytics Reporting and trade exception management solutions that optimize trade execution, streamline the search for price improvement and simplify regulatory compliance. S3’s proprietary Best Execution Analytics software provides on-the-spot reporting...

Trade Surveillance Suite

Trade Surveillance Suite Monitor trading for a variety of restricted behaviors across multiple asset classes, including market manipulation and other trade-based violations. S3’s Trade Surveillance Suite (TSS) simplifies monitoring for a variety of restricted...

Regulatory Reporting Suite

Advanced analytics tools for SEC Rules 605, 606, 611 and Regulation SHO. Read more about S3's Regulatory Reporting Suite

Transaction Cost Analysis (TCA)

Transaction Cost Analysis (TCA)   Advanced trading analytics functionality, order execution transparency and Transaction Cost Analysis (TCA) specifically for institutional clients. S3’s Transaction Cost Analysis Suite offers advanced trading analytics...

Canadian Best Execution Quality Suite

Given varying conditions between the U.S. and Canadian markets, execution considerations become more complicated and change in real time for dual-listed stocks.  S3’s Canadian Best Execution Quality Suite keeps traders informed of these shifting circumstances by...

Fixed Income Execution Quality Suite

Order execution transparency and compliance tools for corporate, municipal, and TRACE eligible agency bond trades. Read More About S3's Fixed Income Execution Quality Suite.

Complex Option Spread Best Execution

S3's Execution Quality for Complex Spreads allows clients to determine and prove how well their complex spreads are being executed. By developing an execution quality system that understands complex orders, S3 is able to show the execution quality of the complete...

Options TCA

Options TCA Unmatched Transaction Cost Analysis and Best Execution Insight for the Options Market S3’s proprietary Options TCA platform enables users to better identify, and achieve, best execution and price improvement on their options orders by analyzing a multitude...

Bespoke Solutions

S3 is a software company, and got its start in enterprise software. Our software engineers have extensive experience implementing and integrating with complex products, including everything from OMS and EMS platforms to automated high speed trading systems. We can...

News

Davies to speak at the 2019 Texas Traders Convention

Mark Davies, CEO of S3, will speak at the 2019 Texas Traders Convention in Las Colinas, Texas - September 5-7, 2019 Please join Mark Davies at the 2019 Texas Traders Convention.  Davies will speak on the Panel Discussion: Enhanced Disclosure, SEC Rule 606, Order...

Finops Report – Rule 606: SEC Redefines Discretionary Trades

Finops Report – Rule 606: SEC Redefines Discretionary Trades Finops Report by Chris Kentouris 29 August 2019 The US Securities and Exchange Commission’s decision to broadly define what makes a trade execution discretionary will force introducing and executing brokers...

S3 Onboards James Augustyn for Customer Service

Austin, TX, August 7 2019 - S3, a full-service compliance and trade analytics software company, today announced the appointment of James Augustyn as Vice President of Customer Service effective immediately. Mark Davies, CEO of S3, commented on today’s news, “S3 has...

WatersTechnology.com: Brokers Cry SOS on Rule 606

Brokers Cry SOS on Rule 606 Waters Technology by Max Bowie June 13, 2019 The SEC’s revised requirements around order-routing transparency pose a series of challenges for brokers—the greatest of which may be collaborating to track orders through the maze of brokers and...