Order Printed Publications

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: 

  • use the order form (PDF 32 KB) and fax it to (240) 386-4838; or 
  • contact FINRA MediaSource at (240) 386-4200.

 

Firms can also order certain Investor Publications for distribution to clients.

 


 

FINRA Annual Financial Report

You may order copies of the following annual financial reports through MediaSource or download them via the links below:

 

2013 FINRA Year in Review and Annual Financial Report (PDF 758 KB)

2012 FINRA Year in Review and Annual Financial Report (PDF 719 KB)

2011 FINRA Year in Review and Annual Financial Report (PDF 1 MB)

2010 FINRA Year in Review and Annual Financial Report (PDF 626 KB)

 


 

Forms

You may order the following forms through MediaSource or download them via the links below (if available):

 

  • BD (PDF 781 KB)
  • BDW (PDF 287 KB)
  • Non-Member Fingerprint Card Transmittal Form
  • Foreign Exam Request Form
  • New Member Assessment Report
  • SRO/State Fee Schedule (PDF 16 KB)
  • U4 (PDF 272 KB)
  • U5 (PDF 166 KB)

 


 

Miscellaneous

  • Disciplinary Actions
  • Registration and Exam Fees List
  • Fingerprint Cards (pack of 25) $5
  • Securities Investor Protection Corporation (SIPC) Products
    • SIPC Brochure - English - (pack of 25) $15
    • SIPC Brochure - Spanish - (pack of 25) $15
    • SIPC Dual Purpose Sign (9 x 6) $10
    • SIPC Dual Window Decal (3 x 5) $7
    • Window Decal (5 x 7) $9

 


 

FINRA Manual

See the online Manual.

 

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:

  • FINRA firms may receive one complimentary Manual subscription per year.
  • Additional subscriptions: $125/year (includes binder, contents and one-year updating service)
  • Binder and contents only: $45
  • Contents only: $35
  • Binder only: $25

 


 

Interpretations of SEC Rules on Financial Responsibility, Customer Protection, and Books and Records

See the online version.

 

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.

 


 

Membership Kit

See the How to Become a Member Web page.

 

This kit contains information on how to become a FINRA member firm, including forms and information for registering firms and associated persons.

$24.95

 


 

Registered Representatives and Other Securities Industry Professionals—Testing/Training; Roles and Responsibilities Brochure

See the online version.

 

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.

Free

 

 

Last Updated: 6/19/2014