News and Events
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...
S3 CEO Mark Davies to speak at Security Traders Association of Chicago’s (STAC) 94th Annual Meeting
Mark Davies, CEO of S3, will speak at the Security Traders Association of Chicago's (STAC) Annual Mid-Winter Meeting. January 14-16, 2020 Please join Mark Davies at the Security Traders Association of Chicago's 94th Annual Mid-Winter Meeting. Davies will speak on the...
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 article by Chris Kentouris 09 January 2020 Compliance, operations, and IT managers will be teaming up in newly created regulatory operations departments to do data aggregation,...
S3 Signs CODA Markets for SEC Rule 606 Reporting and Best Execution Analytics
Press Release Austin, Texas, 17 December 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that they have signed CODA Markets who will use S3’s Best Execution Analytics and SEC Rule 606...
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...