Products

SEC Rule 606 Reporting

Easily and effectively comply with the SEC 606 order routing disclosure regulations. In 2018, the Securities and Exchange Commission (“SEC”) announced updates to Rule 606 in an effort to ensure…

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…

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 and…

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…

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…

Regulatory Reporting Suite

Advanced analytics tools for SEC Rules 605, 606, 611 and Regulation SHO. Read more about S3’s Regulatory Reporting Suite

Transaction Cost Analysis (TCA)

Advanced trading analytics functionality, order execution transparency and Transaction Cost Analysis (TCA) specifically for institutional clients. S3’s Transaction Cost Analysis Suite offers advanced trading analytics functionality, order execution transparency and…

Canadian Best Execution Quality Suite

Reporting and trade exception management solutions that optimize trade execution, facilitate order routing analysis and provide the insight on execution quality arising from differing market conditions between the U.S. and…

Fixed Income Execution Quality Suite

Order execution and counterparty transparency and compliance tools for corporate, municipal, and TRACE eligible agency bond trades. With the increased scrutiny on fixed income executions, the transparency provided by S3’s Fixed Income…

S3 Concierge

S3 Concierge provides clients with a dedicated data expert to produce custom reports from specifically requested data and formatted to preference. With S3 Concierge, our latest service takes our quality data and our…
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