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

ESMA Consultation on Market Outages – Closed 16th December 2022

(Updated January 2023)

 

Regional Repository

Please visit the below links to view previous responses submitted on behalf of the FIX Trading Community.

Asia-Pacific

Responses

EMEA

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 209 downloads August 27, 2012

FIX responded to a consultation from the SFC on the OTC Derivatives regulatory regime for Hong Kong. ...
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ASIC-FIX Adopted for Short Position Reporting 184.20 KB 250 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...

    EMEA

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    ESMA Market Outages - Consultation Paper Response 105.50 KB 7 downloads December 22, 2022

    FIX Trading Community response to ESMA's consultation regarding the management and communication of outages at trading venues, December 2022 ...
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    FIX Trading Community Response to CP22/12 259.02 KB 25 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 25 downloads April 28, 2022

    FIX Trading Community response to ESMA's opinion regarding the Trading Venue Perimeter, January 2022 ...
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    ESMA DLT (distributed ledger technology) Pilot 88.01 KB 18 downloads March 31, 2022

    FIX Trading Community response to ESMA's call for evidence for the "DLT Pilot Regime and review of MiFIR regulatory technical standards on transparency and reporting", January 2022 ...
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    RTS 1 and 2 Consultation Response 235.06 KB 38 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 118 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) ...
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    ESMA - Technical Standards on reporting_data quality_data access 170.84 KB 125 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...
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    ESMA Consolidated Tape Consultation Paper - FIX Response 249.39 KB 116 downloads September 13, 2019

    06 September, 2019 - The FIX Trading Community provided a response to the ESMA CP on Consolidated Tape. ...
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    ESMA MiFID II FIX Response Discussion Paper 669.67 KB 193 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 253 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 385 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 351 downloads February 27, 2015

    This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570 (February 2015) ...
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    FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data 28.33 KB 112 downloads February 28, 2014

    FIX response to the FSB's consultative paper focused on options for aggregating OTC derivatives trade repository data. ...
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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 proposal for an industry led solution for the establishment of a Consolidated Tape Delivery Authority (CTDA) to oversee...
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    ESMA MiFID II FIX Response Covering Letter 112.45 KB 128 downloads February 15, 2008

    ESMA MiFID II FIX Response Covering Letter ...
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    CESR - Changes to FIX for MiFID 288.32 KB 298 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 269 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...

      Americas

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      SEC shortened settlement cycle proposal response (April 2022) 26.00 KB 17 downloads April 12, 2022

      FIX Trading Community response to SEC proposal for shortening the settlement cycle (post trade working group, April 2022) ...
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      SEC 10c-1 securities loan reporting (supplementary response) 41.11 KB 20 downloads April 1, 2022

      FIX Trading Community supplementary response to SEC's proposed exchange act rule 10c-1 for the reporting of securities loans, as of April 2022 ...
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      FIX response to SEC rule 10c-1 (securities loan reporting) 169.73 KB 67 downloads January 5, 2022

      SEC rule 10c-1 proposal response from FIX Trading Community In late 2001, the SEC issued a proposal for a new exchange act rule (10c-1) covering the reporting of securities loan activity. The FIX Trading...
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      FINRA - FIX Responds to Proposed Changes to TRACE Reporting 86.82 KB 66 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. ...
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      SEC - FIX Response to Alternative Identifiers for Securities 231.14 KB 58 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...
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      SEC - FIX & Regulation NMS Overview 58.00 KB 162 downloads February 16, 2017

      This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above. ...
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      CFTC - Parts 43-45 Phase III FIX Gap Analysis 1.49 MB 117 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 130 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 154 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 ...
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      CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 238 downloads March 7, 2016

      Swap Data Reporting ...
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      SEC - FIX Response to Swap Data Reporting 619.80 KB 111 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 109 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 107 downloads July 8, 2013

      SEC - FIX Response to Regulation SCI ...
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      SEC - FIX Response to Consolidated Audit Trail 39.71 KB 132 downloads August 5, 2010

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

      Global (IOSCO)

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      IOSCO - FIX Response to Harmonisation of the UPI 265.41 KB 107 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 106 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 ...