News and Events

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...

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,...

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...

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,...