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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 will be launching 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 October 28th:

Work Management

FINRA is developing a new Work Management system to aggregate the activities and tasks that occur through various FINRA systems into a single space and to provide users a pathway to complete their work. It will present a personalized view that allows users who play various roles to save filters and prioritize work. Compliance and regulatory professionals will be able to increase their efficiency, better manage their time, and reduce their overall efforts. 

  • 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.

U4 Form Completeness Check

FINRA is designing a new U4 Form to improve our digital interfaces by providing seamless ways to complete actions quickly with low friction experiences and improving the consistency of information provided. The goal of this exercise is to review the Completeness Check experience and to provide feedback during the design phase. 

  • 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.

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

In our last round of Lightning Feedback, we introduced to you a Self-Service Ticketing System that could help you receive customized support without leaving your active FINRA application. We've received some great insights from you and you can still provide your input. Here are some high-level takeaways from your responses to-date:

  • Help is there when needed - The majority of our feedback showed that a typical user will contact FINRA for support a few times in a month.  Contacting the Call Center is the frequently used method to obtain help.  
  • New Support Section  - A good majority of you found the new landing page to be clean and well-organized.  The new support section was well received.  Many of you seem to like the idea of creating your own support tickets when you encounter issues with FINRA systems.  
  • Supplemental information - We learned that when reporting issues with FINRA systems, many of you provide additional information in the form of screenshots or other documents demonstrating your issues.   Do you agree that an upload feature would be a valuable feature when submitting a request for support?
  • Lightning Feedback is Fun! - We've received such great responses regarding Lightning Feedback activities.  One participant said, "I am glad that FINRA is doing these lighting feedback and really looking into the responses." We hope to learn more from you through upcoming activities in order to create efficient and enjoyable compliance systems for you!

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 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: