Request for Information: Identifying Regulations To Facilitate Innovation and Competition to Financial Products and Services for Fintech Firms

Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Commodity Futures Trading Commission 17 CFR Parts 1, 3, 4, 23, 30, 36, 37, 38, 39, 40, 41, 43, 45, 48, 49, 50 RIN 3038-ZA24 AGENCY: Commodity Futures Trading Commission. ACTION: Request for information. SUMMARY: Pursuant to its obligations under Executive Order 14405 , the Commodity Futures Trading Commission (“Commission”) is requesting information (this “RFI”) from relevant market participants that will assist the Commission in identifying Commission regulations, guidance documents, orders, no-action letters, and other items that may unduly impede fintech firms from entering into partnerships with financial infrastructures and intermediaries regulated by the Commission (including, whether or not registered with the Commission, futures commission merchants (“FCMs”), introducing brokers (“IBs”), swap dealers (“SDs”), commodity pool operators (“CPOs”), commodity trading advisors (“CTAs”), designated contract markets (“DCMs”), swap execution facilities (“SEFs”), derivatives clearing organizations (“DCOs”), and swap data repositories (“SDRs”)), as well as regulations, guidance documents, orders, no-action letters, and other items that could be amended to streamline application processes for eligible fintech firms seeking registrations and authorizations from the Commission, while balancing innovation interests with the importance of safety and sound…