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Printer-Friendly FINRA Bookstore Information for Firms

FINRA makes the following materials available for new and prospective member firms.

Broker-Dealer Firm User’s Manual
See online version.

The Firm User's Manual was created specifically for broker-dealer firms to guide their users through the CRD system and its functionality.

$89.50

Continuing Education Brochure
See online version.

This brochure contains valuable information about the Securities Industry Continuing Education Program, such as who is required to participate, how the training is administered, and more; it also includes frequently asked questions about the program.

(27 pages)

$8.75 (pack of 25)

Member Alerts
Historical -- only available online

Member Alerts are published as NASD becomes aware of significant issues or trends that may be of general interest to member firms. These alerts are intended to give members helpful information quickly so that they can avoid potential problem areas.

FINRA Membership Kit

This kit contains information on FINRA membership, including forms and information for registering member firms and associated persons.

$60

NASD Notices to Members
See online version.

Published by NASD prior to consolidation with NYSE Member Regulation in 2007, this monthly publication reports amended rules and regulations, legal interpretations, and compliance guidelines. It also chronicles records of fees, settlement-date changes, exam requirements, and other developments. FINRA publishes Regulatory Notices to address such issues.

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

Additional Subscriptions: $225 a year

Quarterly Disciplinary Update
Only available online.

FINRA publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. FINRA selects the particular actions summarized in this quarterly document to call attention to, and remind registered representatives of, specific conduct that violates FINRA rules and will result in disciplinary action.

Regulatory Notices
See online version.

Regulatory Notices provide timely regulatory information about FINRA and NASD/NYSE rules, including notice of recently approved rules and amendments, proposed rules on which FINRA is soliciting comment, and legal interpretations and guidance relating to existing rules. Regulatory Notices may provide information relating to rules of the Securities and Exchange Commission (SEC) or other governmental agencies.

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

Additional Subscriptions: $225 a year

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