B2BC Welcome and Information Session Monday, May 23 8:45 a.m. 9:45 a.m.

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1 B2BC Welcome and Information Session Monday, May 23 8:45 a.m. 9:45 a.m. The orientation breakfast was designed specifically to provide B2BC program participants the opportunity to gain valuable knowledge on how to navigate the conference. During the session, attendees will learn about the conference App, networking opportunities and will receive information on the many onsite opportunities including office hours, system demos, and more. Attendees also will have the opportunity to network with fellow B2BC program participants and get first-hand answers to last minute questions. Can't make these session time? Visit the App Desk next to Registration for a quick tutorial or an Informational Booth located on levels 2, 3 and 4. Moderator: Susanne Goldsmith Director FINRA Member Relations and Education Panelists: Alvin Borlaza Senior Usability Specialist FINRA Technology Product Management Karrie Foley Vice President FINRA Member Relations and Education Holly Ross Associate Director FINRA Member Relations and Education 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 B2BC Welcome and Information Session panelist bios: Moderator: Susanne Goldsmith is Director of Member Relations and Education, FINRA. Member Relations and Education is tasked with maintaining and enhancing open and effective dialog with FINRA member firms, and developing and providing educational resources for firms use. Ms. Goldsmith oversees the development of FINRA conferences and other member firm educational offerings. She manages the FINRA Contact System and works with firms and other departments within FINRA to respond to and address overarching firm issues, and identify tools and services that will help firms meet their regulatory compliance obligations. Previously, Ms. Goldsmith was a Business Analyst in FINRA s Registration and Disclosure department and prior to that, a Supervisor in the Gateway Call Center. She graduated from the University of Maryland, College Park, with a Bachelor of Arts in Psychology and Criminology. Panelists: Alvin M. Borlaza is a senior usability specialist in FINRA s Technology Product Management group. Mr. Borlaza is responsible for coordinating FINRA s rapidly growing Usability Testing and User Research capability. He works with business and technology teams to test FINRA applications, with both internal users and Member Firms, to improve user satisfaction. Prior to joining FINRA in 2012, he worked for 14 years as a User Experience (UX) designer and front-end web developer in the Financial and Automotive industries. Mr. Borlaza earned a master s degree in Information Management from the University of Maryland at College Park, with a focus on User Experience and Human-Computer Interaction. Karrie Foley is Vice President, FINRA, Member Relations and Education. Ms. Foley is responsible for leading a program to assess member firms experience with FINRA systems and services and socializing the Technology Strategy. She partners with FINRA technology and business lines to improve the user experience for all FINRA systems used by our member firms. She also runs the FINRA Compliance Resource Provider Program, where FINRA works with vendors that offer compliance-related products and services to regulated firms at negotiated discounts. In addition, she led the selection and implementation of FINRA s Events Mobile application and assumed responsibilities supporting the FINRA Industry Education Program. On another front, she is business sponsor for features we are adding to the Firm Gateway platform. Prior to taking on this role, Ms. Foley served as the Product Manager for the RAD and Testing and Continuing Education (CE) suite of systems. Ms. Foley is a graduate of Virginia Polytechnic and State University where she earned a Bachelor of Science Degree in Business Management. Holly Ross is Associate Director of FINRA Member Relations and Education. Ms. Ross, directs, conceptualizes, plans and implements FINRA conferences and educational programs. Prior to joining FINRA, Ms. Ross was the Education Manager for Raymond James Financial Services, Inc., in St. Petersburg Florida. In this role, she was responsible for the direction and oversight of the continuing education program, ensuring all new and enhanced training and development programs aligned with organizational priorities and business plans as well as CPA and CFP requirements. Ms. Ross previously held the Series 7 License. Ms. Ross received her Master of Science degree from NOVA Southeastern University and her B.A. from Florida Southern College Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 FINRA Annual Conference May 23 25, 2016 Washington, DC B2BC Welcome and Information Session

4 Panelists Moderator Susanne Goldsmith, Director of Member Relations, FINRA Member Relations and Education Panelists Alvin Borlaza, Senior Usability Specialist, FINRA Technology Product Management Karrie Foley, Vice President, FINRA Member Relations and Education Holly Ross, Associate Director, FINRA Member Relations and Education FINRA Annual Conference 2016 FINRA. All rights reserved. 1

5 Agenda B2BC Program Overview Conference Opportunities FINRA Conference Mobile App FINRA Usability Testing and Engagement Wrap-up and Questions FINRA Annual Conference 2016 FINRA. All rights reserved. 2

Getting the Most Out of the Conference Focus solely on the conference and leave

9 FINRA Annual Conference May 23 25, 2016 Washington, DC FINRA Conference Mobile App

10 WiFi and App Information WiFi App Network Name: Password: App Name: User Name: Password: FINRA Conference finra1939 FINRA Events Your finra1939 FINRA Annual Conference 2016 FINRA. All rights reserved. 7

Messaging Attendees and Speakers iphone Andriod FINRA

22 Conference App Resources Visit the Conference App Booth on Level 4 App Tip sheet on Conference Materials Web Page App Video link on Conference Materials Web Page FINRA Annual Conference 2016 FINRA. All rights reserved. 19

23 FINRA Tools, Tips, and Resources Join FINRA experts on May 23 & 24; 9:00-5:00 on Level 2 to discuss the following topics: Financial Professionals Gateway Concept Report Center and BrokerCheck Rule 2210 Resources Firm Gateway and E-Bill Request Manager and Regulatory Filings Advertising Regulation System Order Audit Trail Systems (OATS) FINRA Annual Conference 2016 FINRA. All rights reserved. 20

24 FINRA Tools, Tips, and Resources Join FINRA experts on May 23 & 24; 9:00-5:00 on Level 2 to discuss the following topics: Office of the Ombudsman The Alert Investor Member Relations and Education FINRA Annual Conference 2016 FINRA. All rights reserved. 21

25 Conference Exhibitors Vendor Offerings Clearing/Execution Compliance Consulting Cybersecurity Data Management /Social Media/E-Discovery Insurance Monitoring Registration/CE//Exams Passport Visit 25 of 56 Exhibitors FINRA Annual Conference 2016 FINRA. All rights reserved. 22

26 FINRA Annual Conference May 23 25, 2016 Washington, DC FINRA Usability Testing

27 Have You Ever Visited website so busy, you didn t know where to begin Clicked an action button, but were unsure if the action went through successfully Wished for a magic feature Avoided using an app out of frustration FINRA Annual Conference 2016 FINRA. All rights reserved. 24

29 What is Usability Testing? Usability Testing evaluates a product by testing it on actual users Evaluate user satisfaction Assess ease of use Identify where improvements are needed Goal: To find out how make the product better FINRA Annual Conference 2016 FINRA. All rights reserved. 26

How a Test Works 1-on-1 moderated session No special skills needed Task-based scenarios

31 Why Should You Volunteer? Shape the future of FINRA applications Be the first to see upcoming features Have a say in what gets built Contribute to the solution Let us know how we can make your job easier Your opinion matters FINRA Annual Conference 2016 FINRA. All rights reserved. 28

33 Example screenshot A B Where would you expect to click if you wanted to export this financial data? C A. Help B. Blue buttons C. Top-right of grid D. Bottom of grid E. Other D FINRA Annual Conference 2016 FINRA. All rights reserved. 30

34 Example screenshot Where would you expect to click if you wanted to export this financial data? C A. Help B. Blue buttons C. Top-right of grid D. Bottom of grid E. Other FINRA Annual Conference 2016 FINRA. All rights reserved. 31

35 What Next? Sign up to be a potential participant Back of the room FINRA Tools, Tips and Resources Booths (Level 2) User Feedback Community on Firm Gateway No commitment required at this time Questions? Alvin.Borlaza@finra.org FINRA Annual Conference 2016 FINRA. All rights reserved. 32

UR Budget. Demo Days Meeting. December 2017

UR Budget. Demo Days Meeting. December 2017 UR Budget Demo Days Meeting December 2017 Chatting for Zoom Participants For those joining the Zoom: 1) Please access the chat feature at the top of your screen 2) Please chat directly with Libby Deibler