FIX and Regulations
Financial regulation has a direct impact on many FIX member firms and how they conduct their business. The FIX Trading Community is independent and neutral, focused on transparency, operational efficiency and mitigating risk. FIX responds to regulations with a focus on promoting the use of global standards to deliver clear and unambiguous data, improve the quality of implementation and reduce costs to the industry.
This page is a repository of documented regulatory consultation responses and other relevant materials provided by the FIX Trading Community in addressing regulatory requirements across the globe.
Current Consultations
Targeted consultation on integration of EU capital markets
ESMA MiFIR Review (CP4) – Derivatives transparency
Regional Repository
Asia Pacific
FIX Trading Community response to Consultation Paper on Guidelines on Artificial Intelligence Risk Management from the Monetary Authority of Singapore 225.00 KB 28 downloads February 12, 2026
FIX Trading Community response to Consultation Paper on Guidelines on Artificial Intelligence Risk Management from the Monetary Authority of Singapore ...
SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong 106.04 KB 3249 downloads August 27, 2012
FIX responded to a consultation from the SFC on the OTC Derivatives regulatory regime for Hong Kong. ...
ASIC-FIX Adopted for Short Position Reporting 184.20 KB 1341 downloads August 12, 2010
FIX welcomes the Australian Securities & Investments Commission (ASIC™s) adoption of the FIX Protocol messaging standard for the reporting of short positions. Use of FIX enables market participants...Americas
Financial Data Transparency Act Joint Data Standards 26.25 KB 248 downloads October 21, 2024
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...
Regulation Best Execution SEC submission March 23 23.29 KB 373 downloads March 31, 2023
Response to SEC rule proposal of December 2022 relating to Best Execution ...
Order Competition Rule SEC submission March 23 23.14 KB 342 downloads March 31, 2023
Response to SEC Order Competition Rule rule proposal of December 2022 ...
Disclosure of Order Execution Information SEC submission March 23 22.73 KB 331 downloads March 31, 2023
Response to SEC rule proposal of December 2022 relating to Order Execution disclosures ...
SEC shortened settlement cycle proposal response (April 2022) 26.00 KB 399 downloads April 12, 2022
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) 41.11 KB 471 downloads April 1, 2022
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) 169.73 KB 1201 downloads January 5, 2022
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...
FINRA - FIX Responds to Proposed Changes to TRACE Reporting 86.82 KB 591 downloads October 5, 2020
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. ...