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 of all-in-one compliance solutions, announced today that they have been certified by FINRA CAT LLC as an authorized CAT (Consolidated Audit Trail) Reporting Agent. This further allows S3 clients to have correctly formatted and accurate CAT reports automatically produced over S3’s RegTech platform.


Many broker-dealers already collect the data required for CAT reporting; however, this often comes in many formats due to the fact that in-house reporting methods differ. Making these changes and staying current with new regulatory updates can be costly and resource intensive. S3’s platform alleviates much of this pressure with seamless reporting.


Mark Davies, S3 CEO states, “We are very pleased to receive this certification from FINRA. CAT Reporting adds to our already robust suite of trading and regulatory technology products.” Davies continues, “Our clients receive maximum benefit, cost savings, and ease of management when they utilize our full suite, and S3 is positioned as an industry hub for all-in-one compliance solutions.”


S3 has worked closely with industry groups and regulators such as the SEC and FINRA. During this time, Davies has contributed his subject matter expertise, in partnership with industry groups, which has resulted in the development of thoughtful technology and meaningful dialogue that supports healthy markets.


For further information, contact:

Michelle Lindenberger


+1 347-256-2228

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