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

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ASIC-FIX Adopted for Short Position Reporting 184.20 KB 186 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
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SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong 106.04 KB 122 downloads

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

Create date: August 27, 2012

    Canada

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    IIROC - FIX Adopted for Market Surveillance and Transaction Reporting 52.24 KB 126 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

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      CESR - Changes to FIX for MiFID 288.32 KB 255 downloads

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

      Create date: October 22, 2006
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      CESR - FIX Response for Establishment of a European Consolidated Tape 0.00 KB 90 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
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      CESR - FIX Response for Transparency and Reporting under MiFID Call for Evidence 177.36 KB 208 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
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      ESMA_MiFID II FIX Consultation Response_2014_1570 366.09 KB 277 downloads

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

      Create date: February 27, 2015
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      ESMA Consolidated Tape Consultation Paper - FIX Response 249.39 KB 61 downloads

      06 September, 2019 - The FIX Trading Community provided a response to the ESMA CP on Consolidated Tape.

      Create date: September 13, 2019
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      ESMA MiFID II FIX Response Consultation Paper 436.30 KB 184 downloads

      ESMA MiFID II FIX Response Consultation Paper

      Create date: February 14, 2017
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      ESMA MiFID II FIX Response Covering Letter 112.45 KB 94 downloads

      ESMA MiFID II FIX Response Covering Letter

      Create date: February 15, 2008
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      ESMA MiFID II FIX Response Discussion Paper 669.67 KB 145 downloads

      ESMA MiFID II FIX Response Discussion Paper

      Create date: February 16, 2017
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      FIX Trading Community Response to ESMA CP 23 March 2016 508.10 KB 314 downloads

      Response to ESMA CP 23 March 2016

      Create date: March 23, 2016
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      FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data 28.33 KB 75 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

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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 57 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
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        IOSCO - FIX Response to Harmonisation of the UPI 265.41 KB 71 downloads

        Harmonisation of the UPI

        Create date: February 24, 2016

          United States

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          CFTC - FIX Responds to Concept Release on Risk Controls and System Safeguards for Automated Trading 78.22 KB 102 downloads

          Create date: December 11, 2013
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          CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements 39.56 KB 83 downloads

          Review of Swap Data Recordkeeping and Reporting Requirements

          Create date: May 27, 2014
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          CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 186 downloads

          Swap Data Reporting

          Create date: March 7, 2016
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          CFTC - Parts 43-45 Phase III FIX Gap Analysis 1.49 MB 92 downloads

          CFTC - Parts 43-45 Phase III FIX Gap Analysis

          Create date: February 16, 2017
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          NASD - OATS Phase III FIX Gap Analysis 174.00 KB 92 downloads

          NASD - OATS Phase III FIX Gap Analysis

          Create date: May 18, 2006
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          NYSE - Rule 80A Account Type Indicators 168.00 KB 130 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
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          OCC - Options Symbology Initiative 57.98 KB 106 downloads

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

          Create date: October 16, 2008
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          SEC - FIX & Regulation NMS Overview 58.00 KB 119 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
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          SEC - FIX Response to Consolidated Audit Trail 39.71 KB 99 downloads

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

          Create date: August 5, 2010
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          SEC - FIX Response to Consolidated Audit Trail 2 346.98 KB 119 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
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          SEC - FIX Response to Disclosure of Order Handling Information 239.49 KB 83 downloads

          SEC - FIX Response to Disclosure of Order Handling Information

          Create date: September 26, 2016
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          SEC - FIX Response to Regulation SCI 117.17 KB 82 downloads

          SEC - FIX Response to Regulation SCI

          Create date: July 8, 2013
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          SEC - FIX Response to Securities Transactions Settlement 383.65 KB 90 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
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          SEC - FIX Response to Swap Data Reporting 619.80 KB 87 downloads

          Swap Data Reporting

          Create date: February 22, 2016