Order Printed Publications

FINRA produces a number of publications—including newsletters, brochures, manuals, and pamphlets—targeted to members, investors, and the general public. Many may be ordered from FINRA MediaSourceSM. Note that a number of these printed publications are also available online.

 

To order printed materials: 

  • use the order form (PDF 32 KB) or 
  • contact FINRA MediaSource at (240) 386-4200.

 

Arbitration Procedures
see online version
This brochure outlines arbitration procedures designed to assist arbitrators, prospective parties, and attorneys; it was prepared by the Securities Industry Conference on Arbitration (SICA) and published by FINRA Dispute Resolution. (31 pages)
$1

 

Panel Member Participant's Guide

These workbooks are used to train FINRA Panel Members and are used at the onsite training sessions sponsored by FINRA Dispute Resolution. (42 pages)
$15

 

Arbitrator's Manual
see online version
A guide for arbitrators developed SICA to supplement and explain the Uniform Code of Arbitration. (62 pages)
$1

 

Code of Arbitration Procedure 
see online version
This booklet contains the official FINRA rules governing arbitration and mediation. (79 pages)
$1

 

Mediation Rules
see online version
Taken from the Code of Arbitration Procedure, Mediation Rules lists the rules governing mediation processes and procedures. (12 pages)
$1

 

FINRA Mediation: An Alternate Path To Resolving Securities Disputes
see online version
This brochure provides an explanation of the FINRA Mediation Program, fee schedule, and benefits of the mediation process. (21 pages)
$1

 

The Neutral Corner
see online version
This newsletter is published four times a year for arbitrators, mediators, and other neutrals. It includes updates on rules affecting dispute resolution and tips on how to be a better arbitrator or mediator.
$10/issue

 

Securities Arbitration Reform (Ruder Report)
Provides information on the findings of the Arbitration Policy Task Force established by FINRA to review the objectives and performance of the dispute resolution process in the securities industry. (198 pages)
$15