Order Printed Publications

FINRA produces a number of publications—including newsletters, brochures, manuals, and pamphlets—targeted to members, investors, and the general public. Many may be ordered from FINRA MediaSource^SM. Note that a number of these printed publications are also available online.

To order printed materials:

use the order form (PDF 32 KB) or
contact FINRA MediaSource at (240) 386-4200.

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

Forms

Some of the following forms are available online. Forms may be ordered through MediaSource or downloaded using the links below (where available):

BD (PDF 2,548 KB)
BDW (PDF 287 KB)
Notice of Disciplinary Actions
Registration and Exam Fees List
Non-member Fingerprint Card Transmittal Form
Foreign Exam Request Form
New Member Assessment Report
SRO/State Fee Schedule (PDF 16 KB)
U4 (PDF 2,530 KB)
U5 (PDF 1,310 KB)
U10 (PDF 37 KB)

Miscellaneous

The following items are available for a nominal fee:

Fingerprint Cards (25 cards) $5
Securities Investor Protection Corporation (SIPC) Products
- SIPC Brochure (pack of 25) $15
- SIPC Dual Purpose Sign (9 x 6) $10
- SIPC Dual Window Decal (3 x 5) $7
- Window Decal (5 x 7) $9

NASD Manual

see online version

The NASD Manual gives members complete information about the guidelines that affect how they conduct business. The Manual contains the By-Laws; lists of officials and members; Conduct Rules; Code of Procedure; Uniform Practice Code; and relevant SEC and Federal Reserve Board rules.

For members only:

Subscription: $125/year (includes binder, contents, and one-year updating service)
Binder and contents: $45
Contents: $35
Binder: $25

For members and non-members:

Soft cover member price: $10.00 (limit: one per Registered branch)
Soft cover non-member price: $29.95

Broker-Dealer Firm User’s Manual
See online version.

The Firm User's Manual was created specifically for broker-dealer firms to guide their users through the CRD system and its functionality.

$89.50

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

The interpretations are available online at no cost or in a hard-copy, three-ring binder for $150 per copy.*

* Please note that this is a one-time cost for the interpretation binder. Future interpretation updates will only be available online. Users who wish to maintain a hard copy of the interpretations must download and print the updates.

Membership Kit

This kit contains information on membership, including forms and information for registering member firms and associated persons.

$24.95

Registered Representatives and Other Securities Industry Professionals—Testing/Training; Roles and Responsibilities Brochure
See 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.

Free