Order Printed Publications

Please be advised that Media Source printed publications are currently unavailable due to COVID-19 related fulfillment issues. We hope to make these resources once again available by Q3 of 2021. In the interim, below are alternatives to obtain printed materials. We apologize in advance for any inconvenience this may cause.

SIPC Materials

Securities Investor Protection Corporation (SIPC) publication and member identification materials can be purchased on the SIFMA website: https://my.sifma.org/SIFMA-Store/SIPC-Materials

Fingerprinting Materials

If you need a supply of fingerprint cards or barcode stickers, contact the FINRA Gateway Call Center at (301) 590-6500.

FINRA Annual Financial Report

You may order copies of the following annual financial reports through MediaSource or download them from the Financial Reports and Policies section of our site.

Forms

BD
BDW
SRO/State Fee Schedule (PDF 65 KB)
U4
U5

FINRA 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.

See the online Manual

If you would like to purchase a printed version and annual subscription, please go to:
https://lrus.wolterskluwer.com/store/product/finra-manual

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

Interpretations of SEC rules on financial responsibility (15c3-1), customer protection (15c3-3) and recordkeeping requirements (17a-3, 17a-4 and 17a-5).

See the online version