US Regulation – FIX Trading Community https://www.fixtrading.org Version 2.1. Tue, 24 Feb 2026 10:17:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.4.3 https://www.fixtrading.org/wp-content/uploads/2017/03/favicon.png US Regulation – FIX Trading Community https://www.fixtrading.org 32 32 Financial Data Transparency Act Joint Data Standards https://www.fixtrading.org/packages/financial-data-transparency-act-joint-data-standards/ Mon, 21 Oct 2024 18:11:51 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=108376

Response to consultation on Financial Data Transparency Act Joint Data Standards (https://www.federalregister.gov/documents/2024/08/22/2024-18415/financial-data-transparency-act-joint-data-standards) as provided to SEC and CFTC, October 2024

]]> Regulation Best Execution SEC submission March 23 https://www.fixtrading.org/packages/regulation-best-execution-sec-submission-march-23/ Fri, 31 Mar 2023 20:05:42 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=102614

Response to SEC rule proposal of December 2022 relating to Best Execution

]]> Order Competition Rule SEC submission March 23 https://www.fixtrading.org/packages/order-competition-rule-sec-submission-march-23/ Fri, 31 Mar 2023 20:04:02 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=102613

Response to SEC Order Competition Rule rule proposal of December 2022

]]> Disclosure of Order Execution Information SEC submission March 23 https://www.fixtrading.org/packages/disclosure-of-order-execution-information-sec-submission-march-23/ Fri, 31 Mar 2023 20:01:20 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=102612

Response to SEC rule proposal of December 2022 relating to Order Execution disclosures

]]> SEC shortened settlement cycle proposal response (April 2022) https://www.fixtrading.org/packages/sec-shortened-settlement-cycle-proposal-response-april-2022/ Tue, 12 Apr 2022 08:17:01 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=85024

FIX Trading Community response to SEC proposal for shortening the settlement cycle (post trade working group, April 2022)

]]> SEC 10c-1 securities loan reporting (supplementary response) https://www.fixtrading.org/packages/sec-10c-1-securities-loan-reporting-supplementary-response/ Fri, 01 Apr 2022 07:58:25 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=84462

FIX Trading Community supplementary response to SEC’s proposed exchange act rule 10c-1 for the reporting of securities loans, as of April 2022

]]> FIX response to SEC rule 10c-1 (securities loan reporting) https://www.fixtrading.org/packages/sec-rule-10c-1-fix-response/ Wed, 05 Jan 2022 12:21:40 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=78682

SEC rule 10c-1 proposal response from FIX Trading Community

In late 2001, the SEC issued a proposal for a new exchange act rule (10c-1) covering the reporting of securities loan activity. The FIX Trading Community’s securities lending working group have authored a response to a number of topics covered in the proposal.

]]> FINRA – FIX Responds to Proposed Changes to TRACE Reporting https://www.fixtrading.org/packages/finra-fix-responds-to-proposed-changes-to-trace-reporting/ Mon, 05 Oct 2020 02:03:12 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=60646

14th September 2020 – FIX Trading Community’s response to Regulatory Notice 20-24 in regards to two proposed changes to the TRACE reporting rules.   Click here to view the response on line.

]]> SEC – FIX Response to Alternative Identifiers for Securities https://www.fixtrading.org/packages/sec-fix-response-to-alternative-identifiers-for-securities/ Thu, 27 Aug 2020 13:16:57 +0000 https://www.fixtrading.org/?post_type=wpdmpro&p=59754

12 August 2020: SEC – FIX Trading Community’s response to the SEC File No. S7-08-20; Reporting Threshold for Institutional Investment Managers. Response to Q#25 regarding the permission for additional security identifiers in lieu of CUSIP for form 13F.

Please click here to view the response on the SEC website.

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