TABB Forum: Like PFOF for Chocolate
TABB Forum published op-ed authored by S3 CEO Mark Davies. 26 March 2021 When it comes to payment for order flow, the quality of trade executions is still very opaque…
Financial Regulation
STANY Member Spotlight: Mark Davies
This month’s spotlight is on new STANY Associate Member, Mark Davies. Davies is Co-Founder and CEO of S3, a full-service compliance and trade analytics software company that services many of…
Finops Report: FINRA’s CAT: Customer Account Data Management Challenge
S3 Chief Software Architect Josh Barry speaks with Chris Kentouris at Finops Report, about existing data management challenges with the Consolidated Audit Trail (CAT). by Chris Kentouris 14 November 2020 Reporting correct customer…
S3 Launches Concierge Service for Custom Reports
Press Release S3 Concierge provides clients with a dedicated data expert to produce custom reports from specifically requested data and formatted to preference Austin, Texas, 07 October 2020 –S3, a leading…
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…
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…
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…
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…
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)…
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…