Redesigning a FINRA-Regulated Broker-Dealer Website

09Compliance-Gated Website Redesign

Redesigning a FINRA-Regulated Broker-Dealer Website

Design system and component library reviewed as part of the redesign

IndustryFinancial Services MethodologyCompliance-Gated Delivery Duration9 Months Scope50+ Pages

Regulatory FrameworkFINRA Rule 2210

Timeline9-Month Redesign

Scope50+ Investor-Facing Pages

Review Turnaround3 Weeks → 2 Weeks

Compliance OutcomeZero Findings at Launch

DeliverablePublic Website Redesign

StakeholdersProduct, Legal & Compliance

StatusShipped On Schedule

The Scenario

The firm's public website is a FINRA Rule 2210-regulated communications channel, 50+ pages spanning bond product disclosures, prospectus links, and Reg BI / Customer Relationship Summary content. Every page touching an investor was, legally, a piece of regulated communication, so a normal redesign playbook didn't apply. Content couldn't ship once it looked right. It had to ship once compliance had cleared it, on a documented trail that could hold up if FINRA ever asked to see it, all on a hard 9-month timeline.

02Challenge

The workflow had to satisfy compliance without becoming the thing that stalled the redesign.

Routing 50+ pages of investor-facing content through legal/compliance review without turning it into a bottleneck
Reviewing exact final rendering, not draft copy, so nothing changed between sign-off and go-live
Maintaining a documented, audit-ready approval trail across every single page, not just the high-visibility ones
Coordinating cadence between product/marketing (speed) and compliance (risk) for 9 months straight without missing the deadline

03Action

Set up the intake stage: product and marketing built page content and layout before anything touched a compliance queue.

Built the compliance gate itself: legal and compliance sign-off under FINRA Rule 2210 required before any dev work began, not after.

Added a staged UAT step so compliance reviewed the exact final rendering, not draft copy, closing the gap where approved content and shipped content could drift apart.

Ran the approval trail myself: reviewer, change, and clearance date logged on every page for audit-on-demand, as the program's PM.

Coordinated go-live so cleared content shipped to production on schedule, keeping product/marketing and compliance on one calendar for 9 months straight.

04Results

9 Monthsredesign timeline

50+pages under FINRA Rule 2210

33%faster review turnaround
(from 3 weeks to 2 weeks)

Zerocompliance findings at launch

The redesign shipped on schedule with zero compliance findings, and the workflow itself became the standing process for every site update since, not a one-time gate that got dismantled once launch was over.