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.
This page is a repository of documented responses provided by the FIX Trading Community in addressing regulatory requirements across the globe.
Current Consultations
September 2022
FCA Guidance on the Trading Venue Perimeter CP22/18 Closes 11th November 2022
ESMA Consultation on Market Outages – Closes 16th December 2022
Regional Repository
Please visit the below links to view previous responses submitted on behalf of the FIX Trading Community.
Documentation
Asia Pacific
SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong
106.04 KB
186 downloads
August 27, 2012
FIX responded to a consultation from the SFC on the OTC Derivatives regulatory regime...
ASIC-FIX Adopted for Short Position Reporting
184.20 KB
229 downloads
August 12, 2010
FIX welcomes the Australian Securities & Investments Commission (ASIC™s) adoption...EMEA
FIX Trading Community Response to CP22/12
259.02 KB
2 downloads
September 22, 2022
IMPROVING EQUITY SECONDARY MARKETS FCA : CP22/12
...
ESMA Opinion on Trading Venue Perimeter - Response
81.46 KB
6 downloads
April 28, 2022
FIX Trading Community response to ESMA's opinion regarding the Trading Venue Perimeter,...ESMA DLT (distributed ledger technology) Pilot
88.01 KB
1 downloads
March 31, 2022
FIX Trading Community response to ESMA's call for evidence for the "DLT Pilot Regime...RTS 1 and 2 Consultation Response
235.06 KB
16 downloads
September 23, 2021
ESMA CONSULTATION RESPONSE – FINAL RESPONSE
...ESMA - MiFID II_MiFIR CP on transaction reporting_refdata
285.54 KB
84 downloads
December 11, 2020
FIX Trading Community response to the ESMA consultation paper on MiFIR review report...ESMA - Technical Standards on reporting_data quality_data access
170.84 KB
98 downloads
July 3, 2020
03 July 2020 - This document is the FIX response to the ESMA consultation paper on...ESMA Consolidated Tape Consultation Paper - FIX Response
249.39 KB
103 downloads
September 13, 2019
06 September, 2019 - The FIX Trading Community provided a response to the ESMA CP...ESMA MiFID II FIX Response Discussion Paper
669.67 KB
171 downloads
February 16, 2017
ESMA MiFID II FIX Response Discussion Paper
...ESMA MiFID II FIX Response Consultation Paper
436.30 KB
225 downloads
February 14, 2017
ESMA MiFID II FIX Response Consultation Paper
...FIX Trading Community Response to ESMA CP 23 March 2016
508.10 KB
362 downloads
March 23, 2016
Response to ESMA CP 23 March 2016
...ESMA_MiFID II FIX Consultation Response_2014_1570
366.09 KB
321 downloads
February 27, 2015
This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570...FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data
28.33 KB
93 downloads
February 28, 2014
FIX response to the FSB's consultative paper focused on options for aggregating OTC...CESR - FIX Response for Establishment of a European Consolidated Tape
0.00 KB
98 downloads
November 2, 2010
Following consultation with the FIX EMEA Regulatory Subcommittee, FIX produced a...ESMA MiFID II FIX Response Covering Letter
112.45 KB
110 downloads
February 15, 2008
ESMA MiFID II FIX Response Covering Letter
...CESR - Changes to FIX for MiFID
288.32 KB
283 downloads
October 22, 2006
A link to the gap analysis - Changes to FIX for MiFID.
...CESR - FIX Response for Transparency and Reporting under MiFID Call for Evidence
177.36 KB
242 downloads
April 14, 2006
FPL has issued a response to the call for evidence by CESR, who invited interested...Americas
SEC shortened settlement cycle proposal response (April 2022)
26.00 KB
4 downloads
April 12, 2022
FIX Trading Community response to SEC proposal for shortening the settlement cycle...SEC 10c-1 securities loan reporting (supplementary response)
41.11 KB
0 downloads
April 1, 2022
FIX Trading Community supplementary response to SEC's proposed exchange act rule...FIX response to SEC rule 10c-1 (securities loan reporting)
169.73 KB
34 downloads
January 5, 2022
SEC rule 10c-1 proposal response from FIX Trading Community
In late 2001, the SEC...FINRA - FIX Responds to Proposed Changes to TRACE Reporting
86.82 KB
43 downloads
October 5, 2020
14th September 2020 - FIX Trading Community's response to Regulatory Notice 20-24...SEC - FIX Response to Alternative Identifiers for Securities
231.14 KB
37 downloads
August 27, 2020
12 August 2020: SEC - FIX Trading Community's response to the SEC File No. S7-08-20;...
SEC - FIX & Regulation NMS Overview
58.00 KB
152 downloads
February 16, 2017
This document contains an overview of the RegNMS extension and links to copies of...
CFTC - Parts 43-45 Phase III FIX Gap Analysis
1.49 MB
107 downloads
February 16, 2017
CFTC - Parts 43-45 Phase III FIX Gap Analysis
...SEC - FIX Response to Disclosure of Order Handling Information
239.49 KB
107 downloads
September 26, 2016
SEC - FIX Response to Disclosure of Order Handling Information
...SEC - FIX Response to Consolidated Audit Trail 2
346.98 KB
139 downloads
July 14, 2016
FIX Trading Community's response to the SEC's File No. 4-698 - Joint Industry Plan;...CFTC - FIX Response to Technical Specifications for Swap Data Reporting
1.69 MB
209 downloads
March 7, 2016
Swap Data Reporting
...SEC - FIX Response to Swap Data Reporting
619.80 KB
98 downloads
February 22, 2016
Swap Data Reporting
...CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements
39.56 KB
94 downloads
May 27, 2014
Review of Swap Data Recordkeeping and Reporting Requirements
...CFTC - FIX Responds to Concept Release on Risk Controls and System Safeguards for Automated Trading
78.22 KB
112 downloads
December 11, 2013
...SEC - FIX Response to Regulation SCI
117.17 KB
95 downloads
July 8, 2013
SEC - FIX Response to Regulation SCI
...SEC - FIX Response to Consolidated Audit Trail
39.71 KB
113 downloads
August 5, 2010
Please see FIX's reponse to the Consolidated Audit Trail proposal which was submitted...- 1
- 2
Global (IOSCO)
IOSCO - FIX Response to Harmonisation of the UPI
265.41 KB
93 downloads
February 24, 2016
Harmonisation of the UPI
...IOSCO - FIX Response to CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency
479.21 KB
74 downloads
August 12, 2011
FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact...