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News and Events

S3 Launches Concierge Service for Custom Reports

Press Release S3 Concierge provides clients with a dedicated data expert to produce custom reports from specifically requested data and formatted to preference     Austin, Texas, 07 October 2020 –S3, a leading provider of trade surveillance,...

Markets Media: RegTech Q&A with Mark Davies, S3

S3 CEO Mark Davies speaks with Terry Flanagan about the latest regtech updates, SEC Rule 606, and how the S3 team has been operating during the pandemic in the latest Markets Media article by Terry Flanagan 18 August 2020 What has it been like leading S3 through...

S3 Certified for CAT Production by FINRA

S3 Certified for CAT Production by FINRA

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 of all-in-one compliance solutions, announced today that...

Traders Magazine: S3’s Davies on SEC Rule 606 Delay

John D'Antona, Editor of Traders Magazine speaks exclusively to S3 CEO Mark Davies on the delay of SEC Rule 606 by John D'Antona 1 April 2020 The current COVID-19 pandemic has forced a change in the amended Rule 606 timeframe. Last week the Securities and Exchange...

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 new US regulatory requirement for brokers to give investors more information on trade routing...

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) fast approaches, with large industry participants and...

S3 Launches CAT Reporting Solution

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...