Rule 605 Tech Spec Filing On June 12, 2025, the SEC released the FINRA technical specifications for Rule 605 reports. The SEC is soliciting public comment on the spec, due…
Austin, TX July 11, 2023 – S3 is pleased to announce the appointment of Jake Campbell as Vice President of Sales, Europe. Jake will be responsible for developing client relationships…
Read original article here – https://www.marketsmedia.com/raising-the-bar-on-retail-best-execution-in-europe/ Best execution for retail stock trades has had a foothold in the U.S. since the tail end of last century, when buzzy IPOs, soaring…
Austin, TX, August 18, 2022 – S3 today unveiled its Global Options Best Ex & TCA solution for firms looking to satisfy Best Execution obligations for options across all jurisdictions. …
Austin, TX December 1, 2020 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, today announced the appointment of Sarah Phillips as Vice President of Marketing and…
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…
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)…
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…
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…