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
FIX Monitoring, On-boarding, Software and Testing (MOST) – ESMA CP – MiFID II/MiFIR review report on Algorithmic Trading
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 143 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 209 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...Canada
IIROC - FIX Adopted for Market Surveillance and Transaction Reporting 52.24 KB 147 downloads May 6, 2009
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...European Union
ESMA - MiFID II_MiFIR CP on transaction reporting_refdata 285.54 KB 20 downloads December 11, 2020
FIX Trading Community response to the ESMA consultation paper on MiFIR review report on the obligations to report transactions and reference data (November 2020) ...ESMA - Technical Standards on reporting_data quality_data access 170.84 KB 63 downloads July 3, 2020
03 July 2020 - This document is the FIX response to the ESMA consultation paper on the technical standards on reporting requirements, procedures to reconcile and validate the data and access by the relevant...ESMA Consolidated Tape Consultation Paper - FIX Response 249.39 KB 89 downloads September 13, 2019
06 September, 2019 - The FIX Trading Community provided a response to the ESMA CP on Consolidated Tape. ...ESMA MiFID II FIX Response Discussion Paper 669.67 KB 162 downloads February 16, 2017
ESMA MiFID II FIX Response Discussion Paper ...ESMA MiFID II FIX Response Consultation Paper 436.30 KB 206 downloads February 14, 2017
ESMA MiFID II FIX Response Consultation Paper ...FIX Trading Community Response to ESMA CP 23 March 2016 508.10 KB 342 downloads March 23, 2016
Response to ESMA CP 23 March 2016 ...ESMA_MiFID II FIX Consultation Response_2014_1570 366.09 KB 306 downloads February 27, 2015
This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570 (February 2015) ...FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data 28.33 KB 86 downloads February 28, 2014
FIX response to the FSB's consultative paper focused on options for aggregating OTC derivatives trade repository data. ...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 proposal for an industry led solution for the establishment of a Consolidated Tape Delivery Authority (CTDA) to oversee...ESMA MiFID II FIX Response Covering Letter 112.45 KB 106 downloads February 15, 2008
ESMA MiFID II FIX Response Covering Letter ...CESR - Changes to FIX for MiFID 288.32 KB 277 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 225 downloads April 14, 2006
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...IOSCO
IOSCO - FIX Response to Harmonisation of the UPI 265.41 KB 81 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 64 downloads August 12, 2011
FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency ...United States
FINRA - FIX Responds to Proposed Changes to TRACE Reporting 86.82 KB 10 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. ...SEC - FIX Response to Alternative Identifiers for Securities 231.14 KB 12 downloads August 27, 2020
12 August 2020: SEC - FIX Trading Community's response to the SEC File No. S7-08-20; Reporting Threshold for Institutional Investment Managers. Response to Q#25 regarding the permission for additional...
SEC - FIX & Regulation NMS Overview 58.00 KB 137 downloads February 16, 2017
This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above. ...
CFTC - Parts 43-45 Phase III FIX Gap Analysis 1.49 MB 101 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 101 downloads September 26, 2016
SEC - FIX Response to Disclosure of Order Handling Information ...SEC - FIX Response to Consolidated Audit Trail 2 346.98 KB 130 downloads July 14, 2016
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 ...CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 201 downloads March 7, 2016
Swap Data Reporting ...SEC - FIX Response to Swap Data Reporting 619.80 KB 95 downloads February 22, 2016
Swap Data Reporting ...CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements 39.56 KB 90 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 109 downloads December 11, 2013
...SEC - FIX Response to Regulation SCI 117.17 KB 89 downloads July 8, 2013
SEC - FIX Response to Regulation SCI ...SEC - FIX Response to Consolidated Audit Trail 39.71 KB 107 downloads August 5, 2010
Please see FIX's reponse to the Consolidated Audit Trail proposal which was submitted on August 5th, 2010 ...OCC - Options Symbology Initiative 57.98 KB 119 downloads October 16, 2008
This implementation guide includes the recommended approaches to implement the OSI changes within the various versions of FIX. ...NYSE - Rule 80A Account Type Indicators 168.00 KB 145 downloads January 8, 2008
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...NASD - OATS Phase III FIX Gap Analysis 174.00 KB 100 downloads May 18, 2006
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