by Michelle Lindenberger | Aug 7, 2019 | News and Events, Press |
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...
by Michelle Lindenberger | Aug 4, 2019 | Announcements, Conferences / Events, News and Events |
Mark Davies, CEO of S3, will speak at the Canadian Security Traders Association’s (CSTA) Annual Conference. August 15-18, 2019 Please join Mark Davies at the 2019 CSTA Conference. Davies will speak on the Retail Panel scheduled for Friday, August 16th in...
by Michelle Lindenberger | Jun 23, 2019 | News and Events, Press |
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...
by Michelle Lindenberger | Mar 29, 2019 | News and Events, Press |
SEC’s New Rule 606: Execution Transparency At a Cost Finops Reportby Chris Kentouris21 March 2019For brokerage trade operations, compliance and ITmanagers, giving fund managers a lot more details about where and how their trades were executed to fulfill the US...
by Michelle Lindenberger | Mar 27, 2019 | Products, SEC 606 Reporting |
SEC Rule 606 Reporting Easily 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...
