News and Events

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

Finops Report – Rule 606: SEC Redefines Discretionary Trades 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...

S3 Onboards James Augustyn for Customer Service

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 news, “S3 has...

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 Launches New 606 Reporting Suite

AUSTIN, TEXAS January 16, 2019 – S3 (“the Company”), the premier trading compliance company providing innovative solutions to monitor and analyze trade execution and surveillance for equities, options, and fixed income securities, today announced the launch of Order...