This extension covers part of the SEC amendments for Regulation SHO to place further restrictions on short selling. See also EP120. Since the SEC amendment provides exemptions to the rule (broker/dealers may submit “short exempt” orders under certain conditions), it is necessary to enhance FIX messages during the trade lifecycle. In particular, a FIX order...
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EP120 SEC Short Sale Restrictions
This extension covers part of the SEC amendments for Regulation SHO to place further restrictions on short selling. See also EP121. The rules create a “Circuit Breaker” which changes the trading behavior for a security. FIX is utilized in pre-trade dissemination of securities reference data and market data; it follows that FIX needs a method...
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SEC – FIX & Regulation NMS Overview
This document contains an overview of the RegNMS extension and links to copies of the gap analyses described above.
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SEC – FIX Response to Disclosure of Order Handling Information
SEC – FIX Response to Disclosure of Order Handling Information
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SEC – FIX Response to Consolidated Audit Trail 2
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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SEC – FIX Response to Consolidated Audit Trail
Please see FIX’s reponse to the Consolidated Audit Trail proposal which was submitted on August 5th, 2010
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SEC – FIX Response to Securities Transactions Settlement
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.