News and Events
Finops Report: CAT: FINRA’s Exams, Deadlines Won’t Be a Virtual Breeze
S3 Chief Software Architect Josh Barry speaks with Chris Kentouris at Finops Report, about existing challenges that exist with the Consolidated Audit Trail (CAT) ahead of upcoming deadlines. by Chris Kentouris 12 September 2020 Trade compliance, regulatory operations,...
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
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...
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...
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...