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

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 soundness, consumer and investor protection, market integrity, financial stability, and oversight.