SEC

4 years ago

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…

4 years ago

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…

5 years ago

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…

5 years ago

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)…

5 years ago

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…

6 years ago

CAT Reporting

A managed solution which validates exchange files, submits required data to the Consolidated Audit Trail (CAT), and resolves data problems with individual brokers. On April 20, 2020, industry participants began…

SEC

Finops Report: FINRA’s CAT: Customer Account Data Management Challenge

Finops Report: CAT: FINRA’s Exams, Deadlines Won’t Be a Virtual Breeze

S3 Certified for CAT Production by FINRA

S3 Offers SEC CAT Solution Ahead of April Reporting Deadline

WatersTechnology: SEC, FIF Seek End to Rule 606 Compliance Confusion

CAT Reporting

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