FINRA produces a number of printed publications—targeted to firms, investors and the general public—which may be ordered from FINRA MediaSource. Note that a number of these publications are also available online.
To order printed materials:
Firms can also order certain Investor Publications for distribution to clients.
You may order copies of the following annual financial reports through MediaSource or download them via the links below:
You may order the following forms through MediaSource or download them via the links below (if available):
The FINRA Manual contains complete information about the guidelines that affect how firms conduct business, including the By-Laws, Conduct Rules, Code of Procedure, Uniform Practice Code, and relevant SEC and Federal Reserve Board rules.
For FINRA firms only:
Interpretations of SEC rules on financial responsibility (15c3-1), customer protection (15c3-3) and recordkeeping requirements (17a-3, 17a-4 and 17a-5).*
The interpretations are available online at no cost or in a hard-copy, three-ring binder for $150 per copy.**
* The binder does not include updates issued after 2008. As new interpretations are issued or rescinded, FINRA notifies firms of such updates via Regulatory Notices. The binder you are purchasing must be updated to incorporate new interpretations, which are available in Regulatory Notices 13-44, 14-06 14-12 and 14-25.
** Please note that this is a one-time cost for the interpretation binder.
This kit contains information on how to become a FINRA member firm, including forms and information for registering firms and associated persons.
This brochure—tailored for prospective and currently employed registered representatives and other securities industry professionals—addresses testing and qualifications issues, how registered representatives are to conduct business, and the need for professionalism and fair dealing with investors.