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.

Asia-Pacific

Responses

Americas

Responses

Global

Responses

Documentation

Asia Pacific

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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...
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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

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    FIX Trading Community Response to CP22/12

    259.02 KB 2 downloads September 22, 2022
    IMPROVING EQUITY SECONDARY MARKETS FCA : CP22/12 ...
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    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,...
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    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...
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    RTS 1 and 2 Consultation Response

    235.06 KB 16 downloads September 23, 2021
    ESMA CONSULTATION RESPONSE – FINAL RESPONSE ...
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    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...
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    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...
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    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...
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    ESMA MiFID II FIX Response Discussion Paper

    669.67 KB 171 downloads February 16, 2017
    ESMA MiFID II FIX Response Discussion Paper ...
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    ESMA MiFID II FIX Response Consultation Paper

    436.30 KB 225 downloads February 14, 2017
    ESMA MiFID II FIX Response Consultation Paper ...
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    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 ...
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    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...
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    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...
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    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...
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    ESMA MiFID II FIX Response Covering Letter

    112.45 KB 110 downloads February 15, 2008
    ESMA MiFID II FIX Response Covering Letter ...
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    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. ...
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    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

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      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...
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      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...
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      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...
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      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...
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      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;...
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      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...
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      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 ...
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      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 ...
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      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;...
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      CFTC - FIX Response to Technical Specifications for Swap Data Reporting

      1.69 MB 209 downloads March 7, 2016
      Swap Data Reporting ...
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      SEC - FIX Response to Swap Data Reporting

      619.80 KB 98 downloads February 22, 2016
      Swap Data Reporting ...
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      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 ...
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      SEC - FIX Response to Regulation SCI

      117.17 KB 95 downloads July 8, 2013
      SEC - FIX Response to Regulation SCI ...
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      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...

      Global (IOSCO)

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      IOSCO - FIX Response to Harmonisation of the UPI

      265.41 KB 93 downloads February 24, 2016
      Harmonisation of the UPI ...
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      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...