FINRA Public Portal

Downloadable Publications

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more_vertHow to Make Smart Financial Choices After a Job Loss
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How to Make Smart Financial Choices After a Job Lossclose

This 4x9 booklet from FINRA provides tips for managing finances, personal finance resources and consumer protection considerations for consumers impacted by job loss or unexpected unemployment. This publication is also available for download in PDF...

more_vertInvestor Complaint Brochure
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Investor Complaint Brochureclose

This 4x9 booklet provides investors with information they need to identify and report a securities-related complaint to the FINRA Investor Complaint Program. You may also download a PDF of this publication or file a complaint online. ..

more_vertInvestor Complaint Kit
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Investor Complaint Kitclose

Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. We strongly encourage investors to file their complaint via the online FINRA Investor Complaint Center.   Filing online is the quickest way for us to receive your complaint. Should you prefer ..

more_vertMilitary Moving Guide: Making the Most of Your Military Money
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Military Moving Guide: Making the Most of Your Military Moneyclose

This 4x9 booklet from the FINRA Foundation offers steps military service members and families can take to prepare and protect their finances before, during and after a military move, including PCS and deployment. This publication is also available for download in PDF...

more_vertInvestor Complaint Brochure (Spanish)
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Investor Complaint Brochure (Spanish)close

This 4x9 booklet provides Spanish-speaking investors with information they need to identify and report a securities-related complaint to the FINRA Investor Complaint Program.You may also download a PDF of this publication or file a complaint online. ..

more_vertFighting Fraud 101: Smart Tips for Investors
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Fighting Fraud 101: Smart Tips for Investorsclose

Fighting Fraud 101 (FF101 National version) is a compact brochure from the FINRA Foundation, AARP and the U.S. Securities and Exchange Commission (SEC) offering tips to help Americans spot and avoid investment fraud and report issues concerning investment professionals or products.This publication is also available for download in PDF...

more_vert InvestorInfo: Protecting Seniors from Financial Exploitation
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InvestorInfo: Protecting Seniors from Financial Exploitationclose

This 1-page (2-sided) consumer publication explains two FINRA rules to protect seniors and other consumers from financial exploitation. These rules include designation of a “Trusted Contact” on an account and the ability of firms to pause transactions when exploitation is suspected.This publication is also available for download in PDF...

more_vert“Free Meal” Investment Seminars
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“Free Meal” Investment Seminarsclose

While some "free lunch" or "free meal" seminars are educational, others are sales presentations in disguise. This 1 page (2-sided) consumer publication from FINRA offers tips and resources to help consumers spot fraud and distinguish potentially good investment offers from bad ones.This publication is also available for download in PDF...

more_vertHow to Avoid Investment Scams
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How to Avoid Investment Scamsclose

This 1 page (2-sided) consumer publication from FINRA reviews how to spot and avoid the red flags of investment scams and where to turn if a problem arises.This publication is also available for download in PDF...

more_vertHow to Find and Work with an Investment Professional
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How to Find and Work with an Investment Professionalclose

This 1-page (2-sided) consumer publication from FINRA suggests steps to follow and questions to ask when hiring an investment professional or firm.This publication is also available for download in PDF...

more_vertPower of Attorney and Your Investments
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Power of Attorney and Your Investmentsclose

This 1 page (2-sided) consumer publication from FINRA offers important considerations for consumers establishing a Power of Attorney (POA) for investment accounts.This publication is also available for download in PDF...

more_vertTaking Action: An Advocate's Guide to Assisting Victims of Financial Fraud
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Taking Action: An Advocate's Guide to Assisting Victims of Financial Fraudclose

This resource from the FINRA Foundation and the National Center for Victims of Crime (NCVC) provides a roadmap to consumer advocates in a position to assist fraud victims in reporting and recovering from a financial fraud or scam.This publication is also available for download in PDF..

more_vertUnderstanding Brokerage Account Statements and Trade Confirmations
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Understanding Brokerage Account Statements and Trade Confirmationsclose

This 1-page (2-sided) consumer publication from FINRA explains the most common information found on investment account and brokerage account statements and trade confirmations and offers tips for spotting and reporting red flags. This publication is also available for download in PDF...

more_vertmyFICO Flyer
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myFICO Flyerclose

The FINRA Foundation is pleased to make FICO® Scores—and ad-free information and tools in the FICO Standard product—available free of charge to active duty service members and their spouses through installation military financial educators and counselors. Share this flyer with your military community to build awareness of this service...

more_vertFINRA Foundation Resources for the Military Community
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FINRA Foundation Resources for the Military Communityclose

The FINRA Foundation’s Military Financial Readiness Project delivers free, unbiased financial education tools and training to service members, their spouses, and on-base financial educators. Share this 1-page/2-sided flyer with the military community to build awareness of the free content and tools available from FINRA and the FINRA Foundation.This publication is also available for download in PD..