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S3 Offers SEC CAT Solution Ahead of April Reporting Deadline

by Michelle Lindenberger | Feb 4, 2020 | Company News, News and Events, Press | 0 comments

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...

S3 Launches CAT Reporting Solution

by Michelle Lindenberger | Jan 14, 2020 | Announcements, Company News, News and Events | 0 comments

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...

S3 CEO Mark Davies to speak at Security Traders Association of Chicago’s (STAC) 94th Annual Meeting

by Michelle Lindenberger | Jan 14, 2020 | Announcements, Company News, News and Events | 0 comments

Mark Davies, CEO of S3, will speak at the Security Traders Association of Chicago’s (STAC) Annual Mid-Winter Meeting. January 14-16, 2020 Please join Mark Davies at the Security Traders Association of Chicago’s 94th Annual Mid-Winter Meeting.  Davies will...

S3 Signs CODA Markets for SEC Rule 606 Reporting and Best Execution Analytics

by Michelle Lindenberger | Dec 16, 2019 | Announcements, Company News, News and Events | 0 comments

Press Release Austin, Texas, 17 December 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that they have signed CODA Markets who will use S3’s Best Execution Analytics and SEC Rule 606...

SS&C Adds S3’s Transaction Cost Analysis and SEC Rule 606 Regulatory Reporting Services

by Michelle Lindenberger | Sep 4, 2019 | Announcements, Company News, News and Events | 0 comments

Press Release Austin, Texas, 05 September 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that SS&C Technologies is adding S3’s Transaction Cost Analysis (TCA) and SEC Rule 606 Reporting products...

Finops Report – Rule 606: SEC Redefines Discretionary Trades

by Michelle Lindenberger | Sep 4, 2019 | Announcements, Company News, News and Events | 0 comments

S3 CEO Mark Davies weighs in on SEC Rule 606 in 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 to walk a...

Recent Posts

  • Finops Report: New Trade Execution Transparency Tests Data Exchange
  • S3 Offers SEC CAT Solution Ahead of April Reporting Deadline
  • S3 Launches CAT Reporting Solution
  • S3 CEO Mark Davies to speak at Security Traders Association of Chicago’s (STAC) 94th Annual Meeting
  • Finops Report: Regulatory Ops 2020: Handling Tower of Acronyms
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