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For updates and guidance related to COVID-19 / Coronavirus, click here.

Order Printed Publications

FINRA Fingerprint Process Change

FINRA is adjusting the previously-announced timeline for its new fingerprint process for broker-dealer firms and funding portals. The transition will not occur before November, and there are no changes to the fingerprint process at this time. Broker-dealers and funding portals should review the FINRA Fingerprint Process Change page for task instructions, deadlines and other information.

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 Q4 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


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.

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).