Order Printed Publications
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
FINRA accepts FBI Form FD-258 fingerprint cards which can be purchased through alternate retailers such as Amazon. FINRA will provide barcode number stickers free of charge to adhere to Form FD-258 fingerprint cards.
Please include the following information within the FBI card:
- ORI: DCSEC000Z FINRA Wash DC
- Reason Fingerprinted: SEC Rule 17f-2
- Miscellaneous No: Include Individual CRD# if available
If your firm wishes to remit cards to FINRA with an assigned barcode, please contact FINRA’s Gateway Call Center to place an order for barcode number stickers.
In the event you are still unable to purchase publications through alternate means, please contact FINRA’s Gateway Call Center at 240-386-4200.
FINRA Annual Financial Report
You may order copies of the following annual financial reports through MediaSource or download them via the links below:
- 2017 Annual Financial Report
- 2016 Annual Financial Report
- 2015 FINRA Year in Review and Annual Financial Report
- 2014 FINRA Year in Review and Annual Financial Report
- 2013 FINRA Year in Review and Annual Financial Report
- 2012 FINRA Year in Review and Annual Financial Report
- 2011 FINRA Year in Review and Annual Financial Report
- 2010 FINRA Year in Review and Annual Financial Report
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.
If you would like to purchase a printed version and annual subscription, please go to:
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).
Registered Representatives and Other Securities Industry Professionals—Testing/Training; Roles and Responsibilities Brochure
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.