News and Events
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...
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.
606 Reporting Requirements Summary
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...
S3 Launches Trade Surveillance Suite, Providing All-In-One Compliance, Reporting and Analytics
AUSTIN, TEXAS October 3, 2018 – S3 (“the Company”), a financial services software company providing innovative solutions to monitor and analyze trade execution for equities, options, and fixed income securities, today announced the launch of its Trade Surveillance...
S3 Trade Surveillance Suite
Ready to learn more? Read about the S3 Trade...