Lightning Feedback: Help Us Design the Future

As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with our systems. As a user of a FINRA system, we want to ensure you have an opportunity to provide your feedback. 

With that in mind, FINRA presents periodic opportunities for you to provide feedback that can help shape the future of FINRA applications. Each of these opportunities—called “Lightning Feedback”—should not take more than 10 minutes of your time. All responses are anonymous, and there are no right or wrong answers. Your opinions matter and are important in helping us develop applications that meet the needs of you and your firm. 

Current Feedback Opportunities:

  • Lightning Feedback - FINRA Contact System 
    We are enhancing our current FINRA Contact System and want your feedback on the new design and added features.
     
  • Dynamic Reporting Feedback Survey  
    FINRA designed Dynamic Reporting to help firm staff manage their risk, answer common questions, and make informed decisions using FINRA provided data. The goal was to provide an easy-to-use tool that allows compliance and registration staff the ability to select the data they want to view, and then sort, filter, group, and aggregate that data to answer common questions and make decisions that will improve their registration and compliance operations. We want to learn how Dynamic Reporting has worked for you.
     
  • Lightning Feedback – Customer Support Categories
    FINRA Gateway's support is working to enhance your self-service ticketing experience by adding categorization to provide a quicker response to your questions. We'd like your feedback as we develop this categorization.

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

It's been a while since our last round of Lightning Feedback. However, we have not be sitting idle. Our team has spent the last several months onboarding users to the new FINRA Gateway. We've received some great insights and feedback from you. Here are some high-level takeaways:

  • Navigating FINRA Gateway to find forms & filings – Some users have reported having trouble finding common forms and filings in FINRA Gateway. As FINRA Gateway is built out in phases, we expect that users will need to rely on quick links to ‘classic’ applications such as Firm Gateway Forms and Filings. To help remind users how and when to navigate through Quick Links we have added guidance for those who search in the ‘How Can We Help You’ menu on FINRA Gateway, as well as instructions in the FAQs found on FINRA.org: https://www.finra.org/filing-reporting/finra-gateway/faq.
     
  • More information on Requests – Users have provided feedback that they need more information about the items in the Requests feature; in particular data points such as the Matter (Case) Number for Information Requests. We are currently in the process of designing an enhancement to Requests that will provide this type of information, as well as a search feature. Look for this enhancement in the Fall.
     
  • Larger Pop-Up Window for Forms and Other Work – As users begin to work more extensively in FINRA Gateway, we have heard that the pop-up window used for work, such as to complete a U4 filing, is too small. Our team is currently evaluating solutions for this issue, so please look out for improvements in the coming weeks.