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…
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…
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…
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…
Press Release Austin, Texas, 17 December 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that they have signed CODA Markets who will use S3’s Best Execution Analytics and SEC…
TABB Forum published op-ed authored by S3 CEO Mark Davies. 13 September 2019 While fulfilling SEC Rule 606 obligations may seem straightforward, it actually is very complicated, considering all the…
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…
Press Release Austin, Texas, 05 September 2019 – S3, a leading provider of trade surveillance, analytics, and regulatory reporting technology, announced today that SS&C Technologies is adding S3’s Transaction Cost Analysis (TCA) and SEC Rule 606 Reporting products to…
SEC’s New Rule 606: Execution Transparency At a Cost Finops Reportby Chris Kentouris21 March 2019For brokerage trade operations, compliance and ITmanagers, giving fund managers a lot more details about…
Easily and effectively comply with the SEC 606 order routing disclosure regulations. In 2018, the Securities and Exchange Commission (“SEC”) announced updates to Rule 606 in an effort to ensure…