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Order Printed Publications

FINRA produces a number of printed publications—targeted to firms, investors and the general public—which may be ordered from FINRA MediaSource. Note that a number of these publications are also available online.

To order printed materials: 

Firms can also order certain Investor Publications for distribution to clients.


Miscellaneous

  • Disciplinary Actions
  • Registration and Exam Fees List
  • Fingerprint Cards (pack of 25) $5
  • Securities Investor Protection Corporation (SIPC) Products
    • SIPC Brochure - English - (pack of 25) $15
    • SIPC Brochure - Spanish - (pack of 25) $20
    • SIPC Dual Purpose Sign (9 x 6) $10
    • SIPC Dual Window Decal (3 x 5) $7
    • Window Decal (5 x 7) $9

FINRA Annual Financial Report

You may order copies of the following annual financial reports through MediaSource or download them via the links below:


Forms

You may order the following forms through MediaSource or download them via the links below (if available):

  • BD (PDF 781 KB)
  • BDW (PDF 287 KB)
  • Non-Member Fingerprint Card Transmittal Form
  • Foreign Exam Request Form
  • New Member Assessment Report
  • SRO/State Fee Schedule (PDF 16 KB)
  • U4 (PDF 272 KB)
  • U5 (PDF 166 KB)

FINRA Manual

See the online 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

See the online version.

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

See the 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.