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Printer-Friendly FINRA Bookstore Forms & General Information/Publications

To help people affected by or interested in regulation keep up-to-date on compliance guidelines, disciplinary procedures, and rule interpretations, FINRA produces numerous items, including forms and publications.

Forms

Some of the following forms are available online. Forms may be ordered through MediaSource or downloaded using the links below (where available):

• BD (PDF 2,548 KB)
• BDW (PDF 287 KB)
• Notice of Disciplinary Actions
• Registration and Exam Fees List
• Non-member Fingerprint Card Transmittal Form
• Foreign Exam Request Form
• New Member Assessment Report
• SRO/State Fee Schedule (PDF 16 KB)
• U4 (PDF 2,530 KB)
• U5 (PDF 1,310 KB)
• U10 (PDF 37 KB)

Miscellaneous

The following items are available for a nominal fee:

• Fingerprint Cards (25 cards) $5
• Securities Investor Protection Corporation (SIPC) Products
• • SIPC Brochure (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

NASD Manual
see online version

See Subscriptions

FINRA Regulatory Notices
(see online version)

This monthly newsletter reports amended rules and regulations, legal interpretations, and compliance guidelines. It also chronicles records of fees, settlement-date changes, exam requirements, and other developments.

Executive Representatives are entitled to one annual subscription (upon request) for $15.

Additional Subscriptions: $225 a year

NASD Notices to Members: Bound Volume Collection

This collection includes 10 years of Notices to Members, a monthly newsletter containing amended rules and regulations, legal interpretations, and compliance guidelines

Bound Volume Collection (1990-1999): $500

Single-Year Volume (volumes available from 1987 to 2000): $100

FINRA Sanction Guidelines
only available online

This booklet analyzes the most common types of securities violations and the sanctions that are likely to result from FINRA disciplinary proceedings. Included are the basic considerations for determining the gravity of an offense and a discussion of the range of appropriate sanctions.

Other Online FINRA Publications
see online listing

FINRA regularly produces publications and notices of interest to members and other constituents. View a list of these online publications located on our Web Site.

Free