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606 Reporting Requirements Summary

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Speaking Engagements

4/23/24 – TradeTech Europe – Interacting with Retail Liquidity: Examining the Role of Retail Liquidity: How has the rise in retail trading volumes impacted the institutional markets and how can you leverage new platforms and tools to access this liquidity?
Adrian Bradshaw – Senior Equity Dealer, Invesco
Mark Davies – Co-Founder and CEO, S3
James Webb – Deputy Head of Execution, Peel Hunt
Wail Azizi – Chief Strategy Officer, Equiduct
Lara Shevchenko – Senior Policy Advisor- Market Structure, FIA European Principal Traders Association

4/10/24 – STA Washington DC Spring Update
Retail Trading Fireside Chat with Mark Davies, CEO of S3 and moderated by Dan Zinn, General Counsel & Chief of Staff at OTC Markets Group

3/7/24 – FIX EMEA Trading Conference – Keeping Markets Moving
Mark Davies, CEO of S3, Nick Idelson, Co-Chair Algo Trading Working Group, FIX Trading Community, Greg Konczak, Manager, Fixed Trading Venues, FCA, Robert Miller, Head of Global Equity Execution Consulting, Vanguard Asset Management Ltd, Severine Vandelanoite, Senior VP, Market Structure and Regulation, Deutsche Borse

2/1/24 – STANY Emerging Leaders Expert Panel
With Scott Richard, VP – Global Head of Sales & Strategy at S3, Shelley Eleby, MD Head of Marketing Electronic Trading at BMO Capital Markets, Jennifer Fagenson, Head of Equities at DASH Financial Technologies, Ron Hooey, Senior Director, Client Execution Quality and Order Routing, BNY Mellon / Pershing. Moderated by Amanda Jimenez, Quantitative Client Trading, Hudson River Trading

1/16/24 – Best Ex & TCA Analysis and Regulatory Reporting Roundtable
at Interbourse in Soldeu, Andorra with industry members from across EMEA

11/8/23 – TRADEliance Regulatory Roundtable in Dallas
Regulatory roundtable with Scott Richard, VP – Global Head of Sales & Strategy at S3, to discuss current industry issues with members of the Dallas trading community

10/28/23 – Axos Clearing Leadership Summit
Mark Davies, S3, Chris Versace, CIO of Tematica Research, moderated by Michael Scaplen, Axos Clearing

10/12/23 – 90th Annual STA Market Structure Conference
Mark Davies, S3, Tom Hochleutner, Senior Compliance Officer at Clear Street, Ovi Montemayor, Managing Director at Charles Schwab, Stephen Kay, Global Head of Sell-Side Sales at Virtu Financial, and moderated by Jacob Rappaport, Head of Equities, StoneX Group Inc.

9/7/23 – Dallas STA: Regulatory Update
With Mark Davies, S3, and Jim Toes, President and CEO, STA

7/11/23 – TRADEliance Regulatory Roundtable in Minneapolis
Regulatory roundtable with Scott Richard, VP – Global Head of Sales & Strategy at S3, to discuss current industry issues with members of the Minneapolis trading community

5/23/23 FIF Webinar on Fixed Income Trade Surveillance Moderator
Tom Jordan, Chair of the FIF Advisory Committee Panel: Ted Karn of The Karn Group, Alex Sedgwick of Abel Noser, and John Standerfer of S3

5/17/23 – Advisorpedia Podcast: Expanding Offerings and Evolving the Market
With Michael Scaplen and Mark Davies https://www.advisorpedia.com/podcasts/expanding-offerings-and-evolving-the-market-with-michael-scaplen-and-mark-davies/

5/11/23 – ITAP Annual
Mark Davies presentation on SEC Proposals

5/5/23 Carolina STA: SEC Proposals: The Comments Are In – Where Do We Stand?
Moderator: Mark Davies, S3 Panel: Ed Hosty, Robinhood, Troy Draizen, Jones Trading, Stephen Kay, Virtu

2/24/23 STA Florida: Market Structure: Topic – Next Generation Market Structure
Moderator: Mark Davies, S3. Panel: Rob Verderese, Head of Cash Trading – Virtu • Adam Inzirillo, SVP, Head of North American Equities – Cboe Global Markets • Scot Galvin, COO/POO – Robinhood • Michael Harrington, Citadel Securities

2/8/23 SIFMA Webinar
Presentation to Equity Markets and Trading Committee-SEC 605 Proposal

1/25/23 STA Chicago Panel – Market Structure – SEC Rule Filing Updates
Moderator: Phil Pearson, Barclays – Head of Americas Electronic Equity Product. Panel: Clare Saperstein – Head of Equities at NYSE • Joe Mecane – Head of Execution Services at Citadel Securities • Mark Davies – Co-Founder, CEO – S3 • Jason Wallach – Head of Capital Markets at Apex Clearing Corporation

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606 Reporting Requirements Summary

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