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
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.
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).