Unit 19/20

Question 1

IPR

Answer 1

Independently prepared reprint
Article reprint
Prepared by independent publisher, not affiliated with the member, and not underwriter/issuer of the security mentioned, and not commissioned
Not materially altered
Unless correcting errors or meeting standards
Pre-approved by principal
Exempt from filing requirement

Question 2

CRD

Answer 2

Central registration depository
Where records of registration of individuals and firms is kept

Question 3

Considerations for determining if communication is misleading

Answer 3

Overall context of the statement
Levels of explanation or detail
Overall clarity of the communication

Question 4

DRP

Answer 4

Disclosure reporting page
For any felony or any securities related misdemeanor
Form U4

Question 5

NAC

Answer 5

National Adjudicatory Council