Digital Experience Transformation (DXT)
In 2021, we released FINRA Gateway powered by the Digital Experience Transformation. This multi-year effort integrated and simplified brokerage firms’ digital interactions with FINRA, facilitating more efficient and effective compliance programs.
Based on subsequent firm feedback, FINRA Gateway released a series of enhancements in 2024 and 2025 to create a consistent experience for firm-initiated regulatory tasks and expanded on the existing platform capabilities to include work item tracking, expanded reporting functionality, and built a widget-centric dashboard framework for introducing new dashboard offerings.