FIX and Regulations
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
ASIC-FIX Adopted for Short Position Reporting 184.20 KB 171 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.
Canada
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.
European Union
ESMA Consolidated Tape Consultation Paper - FIX Response 249.39 KB 63 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 Discussion Paper 669.67 KB 145 downloads February 16, 2017
ESMA MiFID II FIX Response Discussion Paper
ESMA MiFID II FIX Response Consultation Paper 436.30 KB 184 downloads February 14, 2017
ESMA MiFID II FIX Response Consultation 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
ESMA_MiFID II FIX Consultation Response_2014_1570 366.09 KB 280 downloads February 27, 2015
This document is a response to the ESMA MiFID II/MiFIR Consultation Paper 2014_1570 (February 2015)
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.
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.
ESMA MiFID II FIX Response Covering Letter 112.45 KB 94 downloads February 15, 2008
ESMA MiFID II FIX Response Covering Letter
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 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.
IOSCO
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
United States
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.
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 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 Regulation SCI 117.17 KB 83 downloads July 8, 2013
SEC - FIX Response to Regulation SCI
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
SEC - FIX Response to Swap Data Reporting 619.80 KB 85 downloads February 22, 2016
Swap Data Reporting
CFTC - FIX Response to Technical Specifications for Swap Data Reporting 1.69 MB 184 downloads March 7, 2016
Swap Data Reporting
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