News and Events
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 parties involved. S3 CEO Mark Davies breaks down the complex web of...
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 body the Financial Information Forum on Thursday, September 12 to finalize details of how...
SS&C Adds S3’s Transaction Cost Analysis and SEC Rule 606 Regulatory Reporting Services
Press Release Austin, Texas, 05 September 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that SS&C Technologies is adding S3’s Transaction Cost Analysis (TCA) and SEC Rule 606 Reporting products...
Davies to speak at the 2019 Texas Traders Convention
Mark Davies, CEO of S3, will speak at the 2019 Texas Traders Convention in Las Colinas, Texas - September 5-7, 2019 Please join Mark Davies at the 2019 Texas Traders Convention. Davies will speak on the Panel Discussion: Enhanced Disclosure, SEC Rule 606, Order...
Finops Report – Rule 606: SEC Redefines Discretionary Trades
S3 CEO Mark Davies weighs in on SEC Rule 606 in Finops Report by Chris Kentouris 29 August 2019 The US Securities and Exchange Commission’s decision to broadly define what makes a trade execution discretionary will force introducing and executing brokers to walk a...
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 immediately. Mark Davies, CEO of S3, commented on today’s...
Davies to speak at Canadian Security Traders Association Annual Conference 2019
Mark Davies, CEO of S3, will speak at the Canadian Security Traders Association's (CSTA) Annual Conference. August 15-18, 2019 Please join Mark Davies at the 2019 CSTA Conference. Davies will speak on the Retail Panel scheduled for Friday, August 16th in Whistler,...
WatersTechnology.com: Brokers Cry SOS on Rule 606
Brokers Cry SOS on Rule 606 Waters Technology by Max Bowie June 13, 2019 The SEC’s revised requirements around order-routing transparency pose a series of challenges for brokers—the greatest of which may be collaborating to track orders through the maze of brokers and...
Finops Report, SEC’s New Rule 606: Execution Transparency At a Cost
SEC’s New Rule 606: Execution Transparency At a CostFinops Reportby Chris Kentouris21 March 2019For brokerage trade operations, compliance and ITmanagers, giving fund managers a lot more details about where and how their trades were executed to fulfill the US...
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.