Market Structure/SEC Rule Filing Updates

Mark Davies, Co-founder and CEO, S3

Mark Davies is co-founder and CEO of S3, a full-service compliance and trade analytics software company that serves many of the world’s largest financial institutions and exchanges. Davies is responsible for the company’s overall business strategy, as well as daily operations required to deliver an exceptional experience to S3’s valued clients.
S3 was founded in 2001 and discovered a niche after launching its first trading analytics product in 2004. Since then, Davies has shaped S3 to become the trusted industry standard for global regulatory reporting, trade surveillance, CAT, TCA, and best execution analytics across multiple asset classes.

Davies is an industry thought leader on market structure and regulatory requirements, particularly the SEC’s Rule 606. He is Co-Chair of the FIF Rule 606 Committee, serves on the board of the Security Traders Association of New York, and is a member of several other industry groups, including the STA Listed Options Committee, the Dallas Security Traders Association, and SIFMA. He lives in Austin, TX with his wife and three children.

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