Finops Report: New Trade Execution Transparency Tests Data Exchange
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…
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S3 Offers SEC CAT Solution Ahead of April Reporting Deadline
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)…
Finops Report: Regulatory Ops 2020: Handling Tower of Acronyms
S3 CEO Mark Davies offers his expertise on SEC Rule 606 in the latest Finops Report articleby Chris Kentouris09 January 2020 Compliance, operations, and IT managers will be teaming up…
TABB Forum: Rule 606 Look-Through – A Complex Web, Information Leakage, and How to Reduce the Pain
TABB Forum published op-ed authored by S3 CEO Mark Davies. 13 September 2019 While fulfilling SEC Rule 606 obligations may seem straightforward, it actually is very complicated, considering all the…
WatersTechnology: SEC, FIF Seek End to Rule 606 Compliance Confusion
S3 CEO Mark Davies speaks to Max Bowie of WatersTechnology on SEC Rule 606 by Max Bowie 23 September 2019 A meeting between the Securities and Exchange Commission and industry…
S3 Onboards James Augustyn for Customer Service
Press Release 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…
WatersTechnology.com: Brokers Cry SOS on Rule 606
Brokers Cry SOS on Rule 606 Waters Technologyby Max BowieJune 13, 2019 The SEC’s revised requirements around order-routing transparency pose a series of challenges for brokers—the greatest of which…
Finops Report, SEC’s New Rule 606: Execution Transparency At a Cost
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…
S3 CEO Mark Davies Discusses SEC Rule 606 Updates
Markets Media March 15, 2019 S3’s Mark Davies discussed the new and updated SEC Rule 606 reporting requirements during an industry call hosted by the Security Traders Association.
S3 Launches New 606 Reporting Suite
AUSTIN, TEXAS January 16, 2019 – S3 (“the Company”), the premier trading compliance company providing innovative solutions to monitor and analyze trade execution and surveillance for equities, options, and fixed income…