各種フォーム・ディスクロージャー

口座開設に関する各種フォーム、顧客カード及びディスクロージャー

Form	日本語		English
	Format	Date Updated	Format	Date Updated
保護預り約款 Agreement Concerning Safe Custody		January 30, 2012		January 30, 2012
株式等振替決済口座管理約款 Agreement Concerning Securities Settlement Account Management		January 30, 2012		January 30, 2012
先物・オプション取引口座設定約諾書（大阪証券取引所用） Agreement for Setting up Futures/Options Trading Account (Osaka Securities Exchange)		February 24, 2012		February 24, 2012
先物・オプション取引口座設定約諾書（東京証券取引所用） Agreement for Setting up Futures/Options Trading Account (Tokyo Stock Exchange)		January 30, 2012		January 30, 2012
差換預託に関する同意書 Consent on Replacement Deposit and Confirmation Related to Listed Futures and Options		January 30, 2012		November 23, 2010
個人情報保護宣言 Declaration of Protecting Personal Information		June 13, 2011		November 23, 2010
金融商品販売法に係る重要事項の説明 Disclosure regarding sales of financial products		June 13, 2011		November 23, 2010
金銭・有価証券の預託、記帳及び振替に関する契約のご説明 Explanation as to contract for deposit		January 30, 2012		January 30, 2012
反社会的勢力に対する基本方針 IBSJ Basic Policy against Anti-Social Forces		June 13, 2010		November 23, 2010
最良執行方針 IBSJ Best Execution Policy		February 2013		January 30, 2012
書面の電子交付等に関する承諾書 IBSJ Consent to Receiving Electronic Communication		January 30, 2012		January 30, 2012
国内上場有価証券等書面 IBSJ Risk Disclosure for Exchange Listed Securities		January 30, 2012		January 30, 2012
手数料などの諸費用について IBSJ Risk Disclosures for Fees		July 27, 2012		July 27, 2012
国債先物・先物オプション取引の契約締結前交付書面 IBSJ Risk Disclosure for Japan Government Bond Futures / Futures Options		June 8, 2012		June 8, 2012
有価証券オプション取引の契約前交付書面 IBSJ Risk Disclosure for TSE Single Stock Options		January 30, 2012		January 30, 2012
インタラクティブ・ブローカーズ証券　カスタマー・アグリーメント Interactive Brokers Securities Japan, Inc Customer Agreement		October 27, 2010		October 27, 2010
指数先物・オプション取引の契約締結前交付書面 Risk Disclosures for Index Futures/Options Transactions		April 30, 2012		January 30, 2012

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=jp

個人口座のご提出書類
	Date Updated	Format
IBSJ(日本法人)個人口座	November 8, 2012	日本語
IBSJ Individual Account	December 30, 2011	English

法人口座のご提出書類
	Date Updated	Format
IBSJ(日本法人)法人口座	November 8, 2012	日本語
IBSJ Proprietary Trading Group Account	December 30, 2011	English

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=jp1

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	Date Updated	Format
Agreement for Advisors Providing Services to Interactive Brokers Customers (LLC/UK)	May 31, 2012
Agreement for Non-Professional Advisors Providing Services to Interactive Brokers Canada Customers	February 23, 2012
Agreement for Professional Advisors Providing Services to Interactive Brokers Canada Customers	June 30, 2011
Appointment of Canadian Financial Advisor and Request to Send Trade Confirmations and Account Statements To Advisor	July 14, 2011
Appointment of Canadian Financial Advisor (Unregistered) and Request to Send Trade Confirmations and Account Statements to Advisor	July 14, 2011
Discretionary Trading Authorization/Power Of Attorney For Financial Advisor/Request To Send Trade Confirmations and Account Statements To Advisor	July 11, 2011
IB Canada Customer Agreement	August 10, 2012
IB LLC Consolidated Account Clearing Agreement	May 31, 2012
IB LLC Customer Agreement	May 31, 2012
IB LLC Fully Disclosed Clearing Agreement	May 31, 2012
IB LLC Institutional Services Customer Agreement	May 31, 2012
IB LLC IRA Customer Agreement	May 31, 2012
IB LLC OATS Non-Reporting Agreement	November 1, 2010
IB LLC OATS OSO Reporting Agreement	February 24, 2012
IB LLC Proprietary Accounts of Introducing Brokers (PAIB) Agreement	July 25, 2011
IB LLC Roth Customer Agreement	May 31, 2012
IB UK Limited Customer Agreement	September 9, 2005
IB UK Limited Customer Agreement for SIPP Account Holders	August 31, 2009
IB UK Limited Fully-Disclosed SIPP Account Clearing Agreement	August 31, 2009
Interactive Brokers (U.K.) Limited Client Agreement For Trading OTC Products Including CFDs, Precious Metals and Forex	July 25, 2012
Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program	April 19, 2011

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=agreements

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.

Agreement	Date Updated	Format
AMEX (NYSE) Professional Market Data	April 20, 2009
ASX Market Data Transmission Agreement	July 5, 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
CBOT Agreement	March 5, 2004
CBOT Floor Market Data Subscriber Agreement	January 4, 2012
CEG Non-professional Market Data Agreement	March 5, 2004
CEG Professional Market Data Agreement	April 8, 2004
CFE Market Data Agreement	March 24, 2004
Dow Jones Indices Terms and Conditions	April 29, 2009
Hong Kong Stock Exchange Market Data Agreement	February 16, 2007
IDEM Market Data Notification	August 3, 2009
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 - AMEX Professional Market Data	April 20, 2009
OPRA Professional	March 5, 2004
Pink Sheets Subscriber Agreement	April 28, 2006

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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 Updated	Format
After-Hours Trading Risk Disclosure	January 16, 2008
Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement Program	June 23, 2011
Algorithmic Execution Venue Disclosure	December 4, 2008
Arbitration Agreement (Futures)	October 14, 2008
ASX CFDs Risk Disclosure	May 16, 2011
ASX Explanatory Booklet: Understanding ASX CFDs	April 20, 2011
ASX Explanatory Booklet: Understanding Options Trading	April 1, 2011
Australian Best Execution Policy - Retail Clients	December 14, 2011
Australian Best Execution Policy - Wholesale Clients	December 14, 2011
Canadian Client Consent of Electronic Delivery	March 5, 2004
Canadian Shareholders Communication Instruction Form	February 12, 2008
Canadian Stock Order Routing Disclosure	April 5, 2012
CBOE Regulatory Circulars Regarding Option Trading and Use of RAES	March 5, 2004
Certification Regarding Corresponding Accounts for Foreign Banks	April 24, 2009
CFTC Risk Disclosures	April 15, 2008
Customer Consent to Receive Mutual Fund Information Electronically	June 8, 2010
Day Trading Risk Disclosure Statement	May 5, 2009
Description of Interactive Brokers Customer Information Policies and Procedures	August 27, 2009
Disclosure of Cash and Margin Account Trading Requirements, and Automatic Liquidation	March 5, 2004
Disclosure of Risks of Margin Trading	May 5, 2009
Disclosure Regarding IB's Business Continuity Plan	April 23, 2009
Disclosure Regarding IB's Fully-Paid Securities Lending Program	May 22, 2012
Disclosure Regarding IB's Procedures for Allocating Equity Option Exercise Notices	May 31, 2007
Distressed Bonds	June 17, 2010
Documents d'information du Québec sur les contrats à terme et les options - French	March 5, 2004
Electronic Trading And Order Routing Systems Risk Disclosure Statement	February 28, 2006
Euronext LIFFE Risk Disclosure	April 15, 2008
FINRA Investor Protection Information Resources	January 16, 2008
FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts	August 26, 2009
Floor/Pit-Based Exchanges Risk Disclosure	April 15, 2008
French Risk Disclosures	February 21, 2008
HKMEX Disclosure Statement	April 12, 2012
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 Regulatory Info*	April 15, 2008
Hong Kong Risk Disclosure	May 22, 2012
IB UK Order Execution Policy	October 31, 2007
IIROC Arbitration Agreement	April 23, 2009
IIROC Risk Disclosure Statement	April 23, 2009
Important Characteristics and Risks of Participating in Interactive Brokers Fully-Paid Securities Lending Programs	May 22, 2012
Important Information about Arbitration	May 14, 2010
Important Information About Equity, Options and Futures Exchange Rules	May 22, 2012
Important Information About Interactive Brokers Penny Option Pricing System	April 23, 2009
Interactive Brokers Group Privacy Statement	May 15, 2009
Interactive Brokers LLC Financial Services Guide	August 30, 2010
Interactive Brokers LLC General Disclosure on Mutual Funds	May 22, 2012
Interactive Brokers LLC Product Disclosure Statement For Australian Stock Exchange Limited Contracts For Difference	August 3, 2009
Interactive Brokers LLC Product Disclosure Statement for Futures and Futures Options Traded on the Sydney Futures Exchange	August 30, 2010
Interactive Brokers LLC Product Disclosure Statement for Options Traded on the Australian Stock Exchange Limited	August 23, 2007
Interactive Brokers Risk Disclosure for Bond Trading	May 22, 2012
Interactive Brokers (U.K.) Limited - Remuneration Policy	December 21, 2011
Interactive Brokers UK MiFID Professional Client Notification & Consent Letter	October 31, 2007
Interactive Brokers UK MiFID Retail Client Notification & Consent Letter	October 31, 2007
IRA Documents	December 8, 2011
ISE Disclosure for Option Orders Over 500 Contracts	May 22, 2012
Japanese Risk Disclosure	February 24, 2011
Maine Risk Disclosure	March 5, 2004
MSRB Investor Brochure	May 26, 2010
Municipal Risk Disclosure	May 26, 2010
Notice of Clearing Arrangement for IB Canada Customers	February 9, 2010
Notice of Execution and Clearing Agreement and Description of Contractual Relationship Between IB UK and IB LLC	March 5, 2004
Notice Regarding NFA's BASIC System	April 21, 2009
Notice Regarding Phishing Scams	June 10, 2009
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges	May 24, 2011
Notice Regarding Prohibitions Involving Banco Delta Asia, Commercial Bank of Syria, VEF Bank and their Subsidiaries	April 29, 2008
OCC Risk Disclosure	April 1, 2010
Order Routing & Payment for Order Flow Disclosure	May 22, 2012
PAIB Agreement	June 21, 2006
Portfolio Margin Disclosure	May 24, 2011
Quebec Day Trading Risk Disclosure	April 23, 2009
Quebec Risk Disclosure	March 5, 2004
Recertification Regarding Corresponding Accounts for Foreign Banks	April 24, 2009
Risk Disclosure and Supplemental Agreement for Security Futures Trading at Interactive Brokers	April 15, 2008
Risk Disclosure Regarding Leveraged and Inverse Funds	August 5, 2010
Risk Disclosure Statement For Forex and Multi-Currency Accounts	July 26, 2012
Risk Disclosure Statement for Trading CFDs With Interactive Brokers (U.K.) Limited ("IB UK")	January 14, 2011
Risk Disclosure Statement for Trading OTC Precious Metals with Interactive Brokers (U.K.) Limited ("IB UK")	January 14, 2011
Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options	April 21, 2009
Singapore Risk Disclosure	February 21, 2008
Spousal Consent Form	August 7, 2009
Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited	August 23, 2007
Swiss Bankers Association Special Risks in Securities Trading	February 17, 2012
Sydney Futures Exchange Agreement	April 15, 2008

Form	日本語		English
	Format	更新日時	Format	Date Updated
IBSJ Risk Disclosures for Commodities Futures for Corporate Customer		January 30, 2012		January 30, 2012
IBSJ Risk Disclosure for Foreign Bond Futures / Futures Options on IBLLC account		January 30, 2012		January 30, 2012
IBSJ Risk Disclosure for Foreign Bond on IBLLC account		January 30, 2012		January 30, 2012
IBSJ Risk Disclosure for Foreign Exchange Listed Securities		January 30, 2012		January 30, 2012
IBSJ Risk Disclosure for Foreign Listed Derivatives on IBLLC account		January 30, 2012		January 30, 2012
IBSJ Risk Disclosure for Foreign Listed Warrants on IBLLC account		January 30, 2012		January 30, 2012

Note:

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.

Disclosure	Date Updated	Format
IB LLC Agreements and Disclosures Package	July 26, 2012

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=agreements3

Institutional Disclosure Packages

Disclosure	Date Updated	Format
IB LLC Agreements and Disclosures Package	July 26, 2012

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=agreements4

Initial Application Forms

Form	Reviewed/Updated	Format
W-8BEN	May 12, 2006
W-8IMY	May 12, 2006

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Yearly Reporting Forms

Form	Date Updated	Format
1042S	May 10, 2011
1099	July 15, 2011
NR4	May 16, 2011
RL-3 (English Instructions)	May 16, 2011
RL-3	May 16, 2011
RL-15 (English Instructions)	May 16, 2011
RL-15	May 16, 2011
RL-16 (English Instructions)	May 16, 2011
RL-16	May 16, 2011
RL-18 (English Instructions)	May 16, 2011
RL-18	May 16, 2011
T3	May 16, 2011
T5	May 10, 2011
T5008	May 10, 2011
T5013	May 16, 2011

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=agreements6

Customer Service Forms

Form	Date Updated	Format
Corporate Resolution	October 20, 2008
Customer Inquiries and Complaints	March 5, 2004
IRA Transfer In Authorization Form	March 9, 2012
Interactive Brokers Canada Inc. Limited Power of Attorney – Trading Authorization (Individual Accounts)	July 19, 2011
Interactive Brokers Canada Inc. Limited Power of Attorney – Trading Authorization (Organizational Accounts)	July 19, 2011
Partnership Resolution	October 20, 2008
Secure Login System Opt-Out	November 9, 2009
Special Position Liquidation Agreement	October 30, 2006
Stock Transfer-In Form in India	June 20, 2011
Stock Transfer-Out Form in India	June 20, 2011
Summary- IB UK Complaints Handling	October 22, 2009
Transfer on Death Agreement	May 19, 2009
Transfer on Death – Beneficiary Distribution Form	May 19, 2009
Transferring Positions in Asia	August 15, 2012
Transferring Positions in Europe	March 27, 2012

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=agreements7

IB LLC口座必要書類/ Identification Requirements for IBLLC

個人口座のご提出書類
	Date Updated	Format
IBLLC(米国法人)個人口座	November 8, 2012	日本語
IBLLC Individual Account	December 30, 2011	English

法人口座のご提出書類
	Date Updated	Format
IBLLC(米国法人)法人口座	November 8, 2012	日本語
IBLLC Proprietary Trading Group Account	December 30, 2011	English
マージン取引口座の設定に係る確認書(IBLLC法人口座用） Template for Proof of Ability to Trade on Margin Account	June 21, 2012

注意:

[1] 原本のご提出は必要ございません。
[1] Please do not send original documents.

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