This webpage has been created as a repository to store any documentation related to the usage of the FIX Protocol in addressing regulatory requirements across the globe.

Asia Pacific

Icon

ASIC-FIX Adopted for Short Position Reporting 184.20 KB 28 downloads

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 to benefit from significant cost savings and efficiency gains and ASIC’s move to select the protocol is yet another example of the growing level of interest by regulators and trading venues globally to chose standardised practices.

Create date: August 12, 2010
Icon

SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong 106.04 KB 26 downloads

FIX responded to a consultation from the SFC on the OTC Derivatives regulatory regime for Hong Kong.

Create date: August 27, 2012

    Canada

    Icon

    IIROC - FIX Adopted for Market Surveillance and Transaction Reporting 52.24 KB 26 downloads

    FIX is pleased to announce that it has developed an Extension Pack which will enable FIX 5.0 to support IIROC's new FIX-based market regulation feed specification for market surveillance and transaction reporting.

    Create date: May 6, 2009

      European Union

      Icon

      CESR - Changes to FIX for MiFID 288.32 KB 80 downloads

      A link to the gap analysis - Changes to FIX for MiFID.

      Create date: October 22, 2006
      Icon

      CESR - FIX Response for Establishment of a European Consolidated Tape 0.00 KB 22 downloads

      Following consultation with the FIX EMEA Regulatory Subcommittee, FIX produced a proposal for an industry led solution for the establishment of a Consolidated Tape Delivery Authority (CTDA) to oversee the delivery and governance of the European Consolidated Tape. To view this proposal please click on the link included in the title.

      Create date: November 2, 2010
      Icon

      CESR - FIX Response for Transparency and Reporting under MiFID Call for Evidence 177.36 KB 64 downloads

      FPL has issued a response to the call for evidence by CESR, who invited interested parties to submit their views regarding (potential) future work on transparency data publication and consolidation as a result of MiFID.

      Create date: April 14, 2006
      Icon

      ESMA_MiFID II FIX Consultation Response_2014_1570 366.09 KB 70 downloads

      This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570 (February 2015)

      Create date: February 27, 2015
      Icon

      ESMA MiFID II FIX Response Consultation Paper 436.30 KB 58 downloads

      ESMA MiFID II FIX Response Consultation Paper

      Create date: February 14, 2017
      Icon

      ESMA MiFID II FIX Response Covering Letter 112.45 KB 26 downloads

      ESMA MiFID II FIX Response Covering Letter

      Create date: February 15, 2008
      Icon

      ESMA MiFID II FIX Response Discussion Paper 669.67 KB 47 downloads

      ESMA MiFID II FIX Response Discussion Paper

      Create date: February 16, 2017
      Icon

      FIX Trading Community Response to ESMA CP 23 March 2016 508.10 KB 81 downloads

      Response to ESMA CP 23 March 2016

      Create date: March 23, 2016
      Icon

      FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data 28.33 KB 26 downloads

      FIX response to the FSB's consultative paper focused on options for aggregating OTC derivatives trade repository data.

      Create date: February 28, 2014

        IOSCO

        Icon

        IOSCO - FIX Response to CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency 479.21 KB 10 downloads

        FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency

        Create date: August 12, 2011
        Icon

        IOSCO - FIX Response to Harmonisation of the UPI 265.41 KB 19 downloads

        Harmonisation of the UPI

        Create date: February 24, 2016

          United States

          Icon

          CFTC - FIX Responds to Concept Release on Risk Controls and System Safeguards for Automated Trading 78.22 KB 21 downloads

          Create date: December 11, 2013
          Icon

          CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements 39.56 KB 19 downloads

          Review of Swap Data Recordkeeping and Reporting Requirements

          Create date: May 27, 2014
          Icon

          CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 42 downloads

          Swap Data Reporting

          Create date: March 7, 2016
          Icon

          CFTC - Parts 43-45 Phase III FIX Gap Analysis 1.49 MB 19 downloads

          CFTC - Parts 43-45 Phase III FIX Gap Analysis

          Create date: February 16, 2017
          Icon

          NASD - OATS Phase III FIX Gap Analysis 174.00 KB 21 downloads

          NASD - OATS Phase III FIX Gap Analysis

          Create date: May 18, 2006
          Icon

          NYSE - Rule 80A Account Type Indicators 168.00 KB 32 downloads

          In response to the evolution of program trading activities in the marketplace, NYSE has amended NYSE Rule 80A.40 to update the definition of account type indicators – “J” and “K”. These changes go into effect on June 2, 2008.

          Create date: January 8, 2008
          Icon

          OCC - Options Symbology Initiative 57.98 KB 31 downloads

          This implementation guide includes the recommended approaches to implement the OSI changes within the various versions of FIX.

          Create date: October 16, 2008
          Icon

          SEC - FIX & Regulation NMS Overview 58.00 KB 29 downloads

          This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above.

          Create date: February 16, 2017
          Icon

          SEC - FIX Response to Consolidated Audit Trail 39.71 KB 23 downloads

          Please see FIX's reponse to the Consolidated Audit Trail proposal which was submitted on August 5th, 2010

          Create date: August 5, 2010
          Icon

          SEC - FIX Response to Consolidated Audit Trail 2 346.98 KB 27 downloads

          FIX Trading Community's response to the SEC's File No. 4-698 - Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail

          Create date: July 14, 2016
          Icon

          SEC - FIX Response to Disclosure of Order Handling Information 239.49 KB 19 downloads

          SEC - FIX Response to Disclosure of Order Handling Information

          Create date: September 26, 2016
          Icon

          SEC - FIX Response to Regulation SCI 117.17 KB 18 downloads

          SEC - FIX Response to Regulation SCI

          Create date: July 8, 2013
          Icon

          SEC - FIX Response to Securities Transactions Settlement 383.65 KB 26 downloads

          FIX filed a response to the SEC Concept Release entitled Securities Transactions Settlement. This is the first time that FIX has responded to an SEC Concept Release.

          Create date: June 15, 2004
          Icon

          SEC - FIX Response to Swap Data Reporting 619.80 KB 19 downloads

          Swap Data Reporting

          Create date: February 22, 2016