FIX and Regulations

ASIC-FIX Adopted for Short Position Reporting 184.20 KB 170 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 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.

SFC-FIX Response to OTC Derivatives Regulatory Regime in Hong Kong 106.04 KB 121 downloads August 27, 2012

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

IIROC - FIX Adopted for Market Surveillance and Transaction Reporting 52.24 KB 125 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 reporting.

CESR - Changes to FIX for MiFID 288.32 KB 253 downloads October 22, 2006

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

CESR - FIX Response for Establishment of a European Consolidated Tape 0.00 KB 88 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 the delivery and governance of the European Consolidated Tape. To view this proposal please click on the link included in the title.

CESR - FIX Response for Transparency and Reporting under MiFID Call for Evidence 177.36 KB 207 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 a result of MiFID.

ESMA_MiFID II FIX Consultation Response_2014_1570 366.09 KB 278 downloads February 27, 2015

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

ESMA Consolidated Tape Consultation Paper - FIX Response 249.39 KB 62 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 Consultation Paper 436.30 KB 184 downloads February 14, 2017

ESMA MiFID II FIX Response Consultation Paper

ESMA MiFID II FIX Response Covering Letter 112.45 KB 94 downloads February 15, 2008

ESMA MiFID II FIX Response Covering Letter

ESMA MiFID II FIX Response Discussion Paper 669.67 KB 145 downloads February 16, 2017

ESMA MiFID II FIX Response Discussion Paper

FIX Trading Community Response to ESMA CP 23 March 2016 508.10 KB 316 downloads March 23, 2016

Response to ESMA CP 23 March 2016

FSB-FIX Response to Feasibility Study on Approaches to Aggregate OTC Derivatives Trade Repository Data 28.33 KB 73 downloads February 28, 2014

FIX response to the FSB's consultative paper focused on options for aggregating OTC derivatives trade repository data.

IOSCO - FIX Response to CR02/11 Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency 479.21 KB 55 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

IOSCO - FIX Response to Harmonisation of the UPI 265.41 KB 69 downloads February 24, 2016

Harmonisation of the UPI

CFTC - FIX Responds to Concept Release on Risk Controls and System Safeguards for Automated Trading 78.22 KB 101 downloads December 11, 2013

CFTC - FIX Responds to Review of Swap Data Recordkeeping and Reporting Requirements 39.56 KB 81 downloads May 27, 2014

Review of Swap Data Recordkeeping and Reporting Requirements

CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 184 downloads March 7, 2016

Swap Data Reporting

CFTC - Parts 43-45 Phase III FIX Gap Analysis 1.49 MB 91 downloads February 16, 2017

CFTC - Parts 43-45 Phase III FIX Gap Analysis

NASD - OATS Phase III FIX Gap Analysis 174.00 KB 93 downloads May 18, 2006

NASD - OATS Phase III FIX Gap Analysis

NYSE - Rule 80A Account Type Indicators 168.00 KB 128 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 go into effect on June 2, 2008.

OCC - Options Symbology Initiative 57.98 KB 106 downloads October 16, 2008

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

SEC - FIX & Regulation NMS Overview 58.00 KB 118 downloads February 16, 2017

This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above.

SEC - FIX Response to Consolidated Audit Trail 39.71 KB 100 downloads August 5, 2010

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

SEC - FIX Response to Consolidated Audit Trail 2 346.98 KB 120 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

SEC - FIX Response to Disclosure of Order Handling Information 239.49 KB 83 downloads September 26, 2016

SEC - FIX Response to Disclosure of Order Handling Information

SEC - FIX Response to Regulation SCI 117.17 KB 83 downloads July 8, 2013

SEC - FIX Response to Regulation SCI

SEC - FIX Response to Securities Transactions Settlement 383.65 KB 91 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.

SEC - FIX Response to Swap Data Reporting 619.80 KB 85 downloads February 22, 2016

Swap Data Reporting