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News and Events

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,...

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...

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...