Formulare & Erläuterungen (engl)

Customer Agreements

The following forms are samples of the documents presented in our Account Registration System and may not be submitted to Interactive Brokers.

Agreement
Entity
Date Posted
Format
Customer Agreement LLC February 11, 2008
Customer Agreement UK September 9, 2005
Customer Agreement Canada March 5, 2004
IRA Customer Agreement LLC February 11, 2008
Roth Customer Agreement LLC February 11, 2008
Financial Advisor Agreement LLC/UK March 5, 2004
Canadian Professional Advisor Agreement Canada May 3, 2005
Canadian Non-Professional Financial Advisor Agreement Canada June 9, 2005
Institutional Services Customer Agreement LLC February 11, 2008
Interactive Brokers Fully Disclosed Clearing Agreement LLC April 28, 2008

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Market Data Agreements

The following forms are samples of the documents presented in our Account Registration System and may not be submitted to Interactive Brokers.


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Agreement Date Posted Format
ASX Market Data Transmission Agreement July 5, 2007
AMEX Professional Market Data June 19, 2007
Bolsa de Madrid Market Data Transmission Agreement
February 25, 2008
Bolsa Mexicana de Valores Market Data Transmission Agreement February 13, 2008
BTDS Agreement May 27, 2005
CFE Market Data Agreement March 24, 2004
CBOT Agreement March 5, 2004
CEG Non-professional Market Data Agreement March 5, 2004
CEG Professional Market Data Agreement April 8, 2004
CNQ Market Data Transmission Agreement September 17, 2007
Hong Kong Stock Exchange Market Data Agreement February 16, 2007
Montreal Non-Professional Market Data Agreement October 12, 2004
Montreal Professional Market Data Agreement October 12, 2004
Non-Professional Bundled Market Data Agreement April 12, 2004
NYSE Professional Market Data October 20, 2004
On-Line Nasdaq Subscriber Agreement March 5, 2004
OPRA Professional March 5, 2004
Pink Sheets Subscriber Agreement April 28, 2006
Uniform Subscriber Addendum for US Futures Exchanges April 12, 2007

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Regulatory Notices and Risk Disclosures

Please review the following disclosures carefully, as they contain important information regarding your Interactive Brokers account.

Disclosure Date Posted Format
After-Hours Trading Risk Disclosure January 16, 2008
Arbitration Agreement (Futures) April 15, 2008
ASX Explanatory Booklet: Understanding Options Trading August 23, 2007
Canadian Client Consent of Electronic Delivery March 5, 2004
Canadian Shareholders Communication Instruction Form February 12, 2008
CBOE Regulatory Circulars Regarding Option Trading and Use of RAES March 5, 2004
CFTC Risk Disclosures April 15, 2008
Customer Consent to Receive Mutual Fund Information Electronically March 7, 2008
Day Trading Risk Disclosure Statement May 23, 2007
Disclosure of Cash and Margin Account Trading Requirements,
and Automatic Liquidation		 March 5, 2004
Disclosure of Risks of Margin Trading April 15, 2008
Disclosure Regarding IB's Business Continuity Plan August 8, 2007
Disclosure Regarding IB's Procedures for Allocating Equity Option Exercise Notices May 31, 2007
Documents d'information du Québec sur les contrats à terme et les options - French March 5, 2004
Euronext LIFFE Risk Disclosure April 15, 2008
Electronic Trading And Order Routing Systems Risk Disclosure Statement February 28, 2006
Floor/Pit-Based Exchanges Risk Disclosure April 15, 2008
French Risk Disclosures February 21, 2008
FINRA Investor Protection Information Resources January 16, 2008
FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts June 27, 2006
General Risk Disclosure Statement for Futures and Options March 5, 2004
Hong Kong Acknowledgements August 2, 2006
Hong Kong Client Money Standing Authority June 1, 2007
Hong Kong Client Standing Authority June 1, 2007
Hong Kong Risk Disclosure April 15, 2008
Hong Kong Regulatory Info* April 15, 2008
IDA Arbitration Agreement May 8, 2007
IDA Risk Disclosure Statement March 5, 2004
Important Information about Arbitration January 24, 2008
Important Information About Interactive Brokers Penny Option Pricing System April 28, 2008
Important Information About U.S. Option Exchange Rules May 29, 2007
Interactive Brokers Customer Information Policies and Procedures May 29, 2007
Interactive Brokers LLC Financial Services Guide August 23, 2007
Interactive Brokers LLC General Disclosure on Mutual Funds March 7, 2008
Interactive Brokers LLC Product Disclosure Statement for Options Traded on the Australian Stock Exchange Limited August 23, 2007
Interactive Brokers LLC Product Disclosure Statement for Futures and Futures Options Traded on the Sydney Futures Exchange August 23, 2007
Interactive Brokers Risk Disclosure for Bond Trading April 22, 2008
Interactive Brokers UK MiFID Retail Client Notification & Consent Letter October 31, 2007
Interactive Brokers UK MiFID Professional Client Notification & Consent Letter October 31, 2007
Interactive Brokers Order Execution Policy October 31, 2007
IRA Documents September 7, 2006
ISE Disclosure for Option Orders Over 500 Contracts October 5, 2007
Japanese Risk Disclosure February 21, 2008
Notice of Execution and Clearing Agreement and Description
of Contractual Relationship Between IB UK and IB LLC		 March 5, 2004
Maine Risk Disclosure March 5, 2004
Notice Regarding NFA's BASIC System May 23, 2007
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges May 7, 2008
Notice Regarding Prohibitions Involving Banco Delta Asia, Commercial Bank of Syria, VEF Bank and their Subsidiaries April 29, 2008
OCC Risk Disclosure March 5, 2004
Order Routing & Payment for Order Flow Disclosure April 28, 2008
PAIB Agreement June 21, 2006
Portfolio Margin Disclosure April 28, 2008
Quebec Day Trading Risk Disclosure March 5, 2004
Quebec Risk Disclosure March 5, 2004
Risk Disclosure and Supplemental Agreement for
Security Futures Trading at Interactive Brokers		 April 15, 2008
Risk Disclosure Statement For Forex and Multi-Currency Accounts October 4, 2005
Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options April 22, 2008
Singapore Risk Disclosure February 21, 2008
Spousal Agreement Form March 5, 2004
Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited August 23, 2007
Swiss Bankers Association Special Risks in Securities Trading February 21, 2008
Sydney Futures Exchange Agreement April 15, 2008
*Notice: IB is required to amend the Customer Agreement by adding and deleting certain provisions required by one or more of the Securities and Futures Commission ("SFC"), Hong Kong Exchanges and Clearing Limited ("HKEx"), Hong Kong Futures Exchange ("HKFE"), The Stock Exchange of Hong Kong Limited ("SEHK") or their respective clearing houses, and these amendments appear in the Hong Kong Regulations Agreement (the "HK Additional Provisions").

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Advisor Disclosure Packages

Advisors are required to send a copy of one of the following disclosure packages to their clients with any application. Please select a button to download and print.


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Disclosure Date Posted Format
IB LLC Agreements and Disclosures Package February 25, 2008
IB Canada Agreements and Disclosures Package November 11, 2004
IB UK Agreements and Disclosures Package November 11, 2004

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Institutional Disclosure Packages

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Disclosure Date Posted Format
IB LLC Agreements and Disclosures Package January 16, 2008

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Tax Forms
Form Date Posted Format
W-8BEN May 12, 2006
W-8ECI May 12, 2006
W-8EXP May 12, 2006
W-8IMY May 12, 2006
1099 January 31, 2007
1042S March 5, 2004
T5 March 5, 2004
T5008 March 5, 2004

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Customer Service Forms

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Identification Requirements for IB LLC, IB UK and IB Canada

Click here for instructions for submitting documents.

Identification Requirements for IB LLC Accounts Date Posted Format
Individual Accounts
US Residents December 17, 2004
Non-US Residents December 17, 2004
Documentation Required for Trust Applicants June 21, 2007
Advisor Accounts
US Residents June 21, 2007
Non-US Residents June 21, 2007
Organization Advisors June 21, 2007
Advisor Clients June 21, 2007
Institution Accounts
Corporations, Partnership or Limited Liability Companies February 12, 2008
Unincorporated Businesses June 21, 2007
Broker Accounts
Brokers June 21, 2007
Futures Brokers June 21, 2007


Identification Requirements for IB UK Accounts(1) Date Posted Format
Individual Accounts
UK Residents August 9, 2006
Residents of All Other Countries August 9, 2006
Joint Accounts
Residents of All Countries August 9, 2006
Financial Advisor Accounts
Financial Advisor August 9, 2006
Institution Accounts
Corporate Accounts - Quoted Company August 9, 2006
Corporate Accounts - EU Credit or Financial Institution August 9, 2006
Corporate Accounts - Non-EU Credit or Financial Institution August 9, 2006
Corporate Accounts - Private Company August 9, 2006
Partnership/Unincorporated Business Account August 9, 2006

(1) Please do not send original documents.

Identification Requirements for IB Canada Accounts Date Posted Format
Advisor Accounts
Canadian Advisors April 2, 2004

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Canada Mailed Forms
Disclosure or Agreement Date Posted Format
Canadian Client Consent of Electronic Delivery March 5, 2004
Canadian Shareholders Communication Instruction Form February 12, 2008
Customer Agreement March 5, 2004
Please print, sign and mail the above forms to the address below:

Interactive Brokers Canada
Document Processing Department
1800 McGill College Avenue, Suite 2106,
Montreal, Quebec, H3A 3J6,
Canada

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