FIX and Regulations
Financial regulation has a direct impact on many FIX member firms and how they conduct their business. The FIX organization 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 any documented responses related to the usage of the FIX Protocol in addressing regulatory requirements across the globe.
Current Consultations
ESMA CP – Call for Evidence on Digital Finance
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
157 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
216 downloads
August 12, 2010
FIX welcomes the Australian Securities & Investments Commission (ASIC™s) adoption...Canada
IIROC - FIX Adopted for Market Surveillance and Transaction Reporting
52.24 KB
154 downloads
May 6, 2009
FIX is pleased to announce that it has developed an Extension Pack which will enable...European Union
ESMA - MiFID II_MiFIR CP on transaction reporting_refdata
285.54 KB
42 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
75 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
92 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
164 downloads
February 16, 2017
ESMA MiFID II FIX Response Discussion Paper
...ESMA MiFID II FIX Response Consultation Paper
436.30 KB
213 downloads
February 14, 2017
ESMA MiFID II FIX Response Consultation Paper
...FIX Trading Community Response to ESMA CP 23 March 2016
508.10 KB
349 downloads
March 23, 2016
Response to ESMA CP 23 March 2016
...ESMA_MiFID II FIX Consultation Response_2014_1570
366.09 KB
313 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
89 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
107 downloads
February 15, 2008
ESMA MiFID II FIX Response Covering Letter
...CESR - Changes to FIX for MiFID
288.32 KB
279 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
230 downloads
April 14, 2006
FPL has issued a response to the call for evidence by CESR, who invited interested...IOSCO
IOSCO - FIX Response to Harmonisation of the UPI
265.41 KB
83 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
66 downloads
August 12, 2011
FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact...United States
FINRA - FIX Responds to Proposed Changes to TRACE Reporting
86.82 KB
19 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
18 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
142 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
102 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
103 downloads
September 26, 2016
SEC - FIX Response to Disclosure of Order Handling Information
...SEC - FIX Response to Consolidated Audit Trail 2
346.98 KB
132 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
203 downloads
March 7, 2016
Swap Data Reporting
...SEC - FIX Response to Swap Data Reporting
619.80 KB
96 downloads
February 22, 2016
Swap Data Reporting
...CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements
39.56 KB
91 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
111 downloads
December 11, 2013
...SEC - FIX Response to Regulation SCI
117.17 KB
90 downloads
July 8, 2013
SEC - FIX Response to Regulation SCI
...SEC - FIX Response to Consolidated Audit Trail
39.71 KB
109 downloads
August 5, 2010
Please see FIX's reponse to the Consolidated Audit Trail proposal which was submitted...OCC - Options Symbology Initiative
57.98 KB
122 downloads
October 16, 2008
This implementation guide includes the recommended approaches to implement the OSI...NYSE - Rule 80A Account Type Indicators
168.00 KB
148 downloads
January 8, 2008
In response to the evolution of program trading activities in the marketplace, NYSE...NASD - OATS Phase III FIX Gap Analysis
174.00 KB
102 downloads
May 18, 2006
NASD - OATS Phase III FIX Gap Analysis
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