by Michelle Lindenberger | Apr 25, 2020 | Announcements, Company News, News and Events |
Press Release FINRA grants S3 CAT Reporting Agent status augmenting S3’s CAT reporting technology already utilized by several major financial institutions. Austin, TX, 27 April 2020 S3, a leading provider of all-in-one compliance solutions, announced today that...
by Michelle Lindenberger | Apr 1, 2020 | News and Events, Press |
John D’Antona, Editor of Traders Magazine speaks exclusively to S3 CEO Mark Davies on the delay of SEC Rule 606 by John D’Antona 1 April 2020 The current COVID-19 pandemic has forced a change in the amended Rule 606 timeframe. Last week the Securities and...
by Michelle Lindenberger | Mar 24, 2020 | News and Events, Press |
S3 CEO Mark Davies discusses the new SEC Rule 606 reporting format and what asset managers can glean from these reports by Chris Kentouris 18 March 2020 Complying with a new US regulatory requirement for brokers to give investors more information on trade routing...
by Michelle Lindenberger | Feb 4, 2020 | Company News, News and Events, Press |
A-Team Insight features S3’s all-in-once compliance offering, including S3’s latest product launch, CAT Reporting by Sarah Underwood 04 February 2020 As reporting to the SEC Consolidated Audit Trail (CAT) fast approaches, with large industry...
by Michelle Lindenberger | Jan 14, 2020 | Announcements, Company News, News and Events |
Press Release S3 launches reporting technology for SEC’s Consolidated Audit Trail System (CAT), major exchange to utilize for their brokers. Austin, Texas, 15 January 2020 – S3, a leading provider of regulatory reporting technology, trade surveillance, and...
