Rule 606(a) Analysis

Rule 606(a) Analysis S3 Rule 606(a) Analysis offers advanced analytics for SEC Rule 606(a) Reports.  SEC Rule 606(a) requires broker-dealers to make quarterly reports publicly available, broken down by calendar month, containing certain required information regarding...

Best Execution Analytics

Best Execution Analytics Reporting and trade exception management solutions that optimize trade execution, streamline the search for price improvement and simplify regulatory compliance. S3’s proprietary Best Execution Analytics software provides on-the-spot reporting...

CAT Reporting

CAT Reporting A managed solution which validates exchange files, submits required data to the Consolidated Audit Trail (CAT), and resolves data problems with individual brokers. On April 20, 2020, industry participants began being required to submit reports in...

Trade Surveillance Suite

Trade Surveillance Suite Monitor trading for a variety of restricted behaviors across multiple asset classes, including market manipulation and other trade-based violations. S3’s Trade Surveillance Suite (TSS) simplifies monitoring for a variety of restricted...