Digital Experience Transformation (DXT)
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The Digital Experience Transformation is a multi-year effort to integrate and simplify brokerage firms’ digital interactions with FINRA, facilitating more efficient and effective compliance programs.

General Information

Product Launch

  • The FINRA API Developer Center was launched in November 2019 to support the automation and system integration initiatives of the industry.
  • In direct response to user feedback, we launched our new Dynamic Reporting capability in the second week of October 2019 in new CRD. 

FINRA Unscripted Podcast

News Release

Lightning Feedback: Help Us Design the Future

Each month, FINRA will provide opportunities for you to provide feedback that can help shape the future of FINRA applications – we call these Lightning Feedback. Each Lightning Feedback activity should not take more than 10 minutes of your time. Your opinions matter. All responses are anonymous, and there are no right or wrong answers.

Week of January 13th:

Profiles
FINRA is developing new Profile tools to help compliance professionals better manage the information and activities associated with their firms, branches, and individuals.  This round of Lightning Feedback focuses on getting your impressions of these new Profile pages to see how effectively it will work for your business needs.

  • Lightning Feedback:  Individual Profile
    Review a potential new design for an Individual Profile.  Share your thoughts regarding how this page might improve your ability to research and manage information regarding people in your firm.
     
  • Lightning Feedback:  Firm Profile
    Review a potential new design for a Firm Profile.  Provide feedback about how you would use this page.
     
  • Lightning Feedback:  Branch Profile
    To complement the new Firm and Individual Profiles, FINRA is developing a Branch Profile page to help users manage information associated with their various branch locations.  Explore this page and share your insights.

 

Join Our User Research Participant Pool

SIGN-UP to be informed about future opportunities to provide feedback and learn more about our progress. You can also email us for more information. We look forward to your continued participation.

What We've Learned

Happy New Year!  It's been a while since our last round of Lightning Feedback.  However, we have not be sitting idle.  Our DXT team has spent the last two months conducting user demos of the new FINRA Gateway.  We've received some great insights and feedback from you.  Here are some high-level takeaways:

  • Modern Interface - FINRA Gateway not only consolidates many compliance tools for easier access, it is perceived to be more modern, clean, and intuitive.  New customization features across the different tools make this gateway more user-friendly.
  • Dynamic Reporting - The ability to generate your own customized reports is proving to be a major enhancement to our users' day-to-day responsibilities.  Being able to filter data and choose the columns most important to you is making the process of getting data out of FINRA much easier.  
  • Work Management - Having a list of all compliance tasks required by FINRA in a working list is extremely helpful.  Sorting this list by due date or category provides additional flexibility for different users and firm sizes.
  • Users enjoy participating in demos - We've received such great responses during this Demo Blitz.  It's not too late to participate.  If you'd like to sign up for a demo of the FINRA Gateway, please email us. 

Previous Lightning Feedback Activities

Did you miss a round of Lightning Feedback? It's not too late to provide your input. We are still hoping that we hear from you! Click the links below to access our previous activities.

Week of November 4th:

  • Lightning Feedback:  Work Management
    Give insight into the usability of a proposed design for a new work management system.  Provide feedback regarding how you might manage your tasks and notifications.
  • Lightning Feedback:  U4 Form Completeness Check
    Answer questions about navigating within Completeness Check mode, how you think something should work, and most importantly how you feel this new design might assist you with fixing errors and filing the form. We would love your feedback as we are designing this experience.

Week of September 30th:

  • Lightning Feedback: Self-Service Ticketing System
    Provide your feedback regarding navigation and potential functionality for this workspace, while explaining how it might reflect your daily interaction with FINRA.
  • Lightning Feedback: FINRA Data API Survey
    Whether you are a developer, product manager, or just have an interest in FINRA's API strategy, please take a moment to fill out the form. Once submitted, a FINRA employee may reach out to talk about further steps regarding testing the prototype.

Week of September 19th:

Week of August 12th:

Week of July 29th: