605/ 606 Reporting
Best-in-class technology to help you with reporting.

Transparency in the markets means that traders and all financial institutions need to use best-in-class technology that automatically provides audit trails and archiving required by regulators.


S3’s data warehouse gives you access to a rolling year’s worth of all available market data. This archive stores all of the evidencing and work flow audit trails developed according to your firm’s performance standards. The GRID also makes it possible to analyze trading historically and also within seconds after an order has been executed using data from our real time alerts.


When necessary, all the previous day’s exceptions can be made available to examiners before the market opens the next morning. S3 ’s platform easily categorizes the severity of dis-improvements by dollar amount so that the most egregious can be readily identified for immediate attention.


We provide regular reports such as quarterly SEC Rule 242.606, monthly Rule 242.605 and 19C-3 reports for NYSE member firms. The GRID simplifies a regular and rigorous review of market data and execution as well as delivering consistently reliable analysis to identify common, recurring infractions in the marketplace.


The GRID also enables firms to take advantage of predefined work-flows. These can be used to notify market participants of specific issues or potential violations so exceptions can be easily managed to resolution.