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  1. What is the Investor Education Fund (IEF)?
  2. What governs the use of the IEF?
  3. How will the IPT use the IEF?
  4. How will the funds be allocated for use?
  5. Does a specific jurisdiction "own" or "control" any portion of the IEF or any other funds contributed to the IPT?
  6. How does an entity make a request to utilize the IEF for an investor education or investor protection program?

  1. What is the Investor Education Fund (IEF)?

    • The IEF is made up of investor education related contributions from the analyst conflicts of interest global settlement (global settlement).


    • The IEF is designed for the purpose of implementing the Investor Education Plan (IEP) for investor education and protection in accordance with the IPT Trust documents and provisions of Addendum "A" as attached to the global settlement consent orders (Addendum A).

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  2. What governs the use of the IEF?

    Use of the IEF is governed by the IPT Trust document, Addendum A, IEP, and the Memorandum of Understanding between IPT and the North American Securities Administrators Association (NASAA).

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  3. How does the IPT use the IEF?

    The IEF is used to implement the Investor Education Plan for investor education protection programs.

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  4. How are the funds be allocated for use?

    The IEF funds are allocated to the States based on population. The IEF is subject to the IPT funding criteria and Addendum A. The IEF is under the exclusive control of IPT.

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  5. Does a specific jurisdiction "own" or "control" any portion of the IEF or any other funds contributed to the IPT?

    No, all funds contributed to the IPT are under its exclusive control and are subject to the IPT funding criteria.

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  6. How does an entity make a request to utilize the IEF for an investor education or investor protection program?

    The Grant Process, including the Letter of Inquiry and Grant Proposal Guidelines, is outlined in the Grant Process section of the IPT website at www.investorprotection.org/wwi/grant_process.html

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