FIX and Regulations
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.
Documentation
Asia Pacific
EMEA
Americas
IIROC - FIX Adopted for Market Surveillance and Transaction Reporting 52.24 KB 181 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...
OCC - Options Symbology Initiative 57.98 KB 174 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 164 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 119 downloads May 18, 2006
NASD - OATS Phase III FIX Gap Analysis ...
SEC - FIX Response to Securities Transactions Settlement 383.65 KB 115 downloads June 15, 2004
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. ...- 1
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