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.

Asia-Pacific

Responses

Canada

Responses

European Union

Responses

IOSCO

Responses

United States

Responses

Documentation

Asia Pacific

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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...
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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

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    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

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      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...
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      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...
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      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...
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      ESMA MiFID II FIX Response Discussion Paper

      669.67 KB 164 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 213 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 349 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 313 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 89 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 107 downloads February 15, 2008
      ESMA MiFID II FIX Response Covering Letter ...
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      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. ...
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      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

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        IOSCO - FIX Response to Harmonisation of the UPI

        265.41 KB 83 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 66 downloads August 12, 2011
        FIX's Response to IOSCO Consultation - CR02/11 Regulatory Issues Raised by the Impact...

          United States

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

          1.69 MB 203 downloads March 7, 2016
          Swap Data Reporting ...
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          SEC - FIX Response to Swap Data Reporting

          619.80 KB 96 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 91 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 90 downloads July 8, 2013
          SEC - FIX Response to Regulation SCI ...
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          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...
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          OCC - Options Symbology Initiative

          57.98 KB 122 downloads October 16, 2008
          This implementation guide includes the recommended approaches to implement the OSI...
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          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...
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          NASD - OATS Phase III FIX Gap Analysis

          174.00 KB 102 downloads May 18, 2006
          NASD - OATS Phase III FIX Gap Analysis ...