Agreements And Disclosures | Interactive Brokers

Fully-Disclosed and Advisor clients are required to sign IBKR customer agreements and disclosures.

Full Integration: Hosting firm will display IBKR agreements and disclosures within interface and collect electronic signature.
Hybrid: End use signs IBKR agreements via the IBKR White Branded Platform

This section covers handling agreements and disclosures for clients using Full Integration.

Download IBKR Agreements and Disclosures

Pull using the /gw/api/v1/forms endpoint.

Request Parameters

Name	Type	Description
getDocs required	T F	T= True (Documents will be pulled) F= False (Documents will not be pulled)
fromDate required	YYYY-MM-DD	View forms that are updated as of fromDate
toDate required	YYYY-MM-DD	View forms that are updated between fromDate and toDate
formNo	String	Form Number. If provided; only single formNo is supported per request. If excluded, endpoint will return all forms that meet the given criteria.
projection	DOCS NONE PAYLOAD	Determine output

Submit Agreements and Disclosures

The /gw/api/v1/accounts/documents endpoint provides mechanism to submit Agreements and Disclosures to IBKR once a day instead of with each application. We store these documents on the servers and will use them for new application requests submitted that day.

Documents will need to be submitted once a day (before the Applications are submitted). PDFs will be displayed and submitted as is- no changes/edits will be made to the actual PDF files.
This end-point will not process any Tax Form Documents. Tax Form document should be submitted with every application
If submitted in the morning, you only need to include the Tax Form attachment for each applicant. Otherwise, you will need to include PDFs with each application (Create Account).

Schema

Name	Type	Description
fileName	String	File name of the PDF document submitted to IBKR. `fileName` included within the `documents` request must match the `fileName` of the PDF file that is included within the signed request. Acceptable formats: .jpeg, .jpg, .pdf, .png Max size: 10 MB
fileLength	String	Length of the PDF form.
sha1Checksum	String	SHA-1 is crypto algorithm that is used to verify that a file has been unaltered. This is done by producing a checksum before the file has been transmitted, and then again once it reaches its destination.
formNumber	String	Use `/gw/api/v1/accounts/{accountId}/tasks` to view a list of forms that are required for approval.
execTimestamp	YYYYMMDDHHMMSS	Timestamp when agreement was submitted to IBKR.
execLoginTimestamp	YYYYMMDDHHMMSS	Timestamp when agreement was submitted to IBKR.
mimeType	application/pdf application/pdf image/png image/jpeg (Includes .jpeg, .jpg)	Format of the file.
data	String	Includes document encoded in base64.

Example

{
        "processDocuments":
            {
                "documents": [
                    {
                        "attachedFile": {
                            "fileName": "Form3024.pdf",
                            "fileLength": 432177,
                            "sha1Checksum": "03D899BA757F617C907A1F021D7046AC1DAC8707"
                        },
                        "payload": {
                            "mimeType": "application/pdf",
                            "data": pm.collectionVariables.get('form3024')
                        },
                        "formNumber": 3024,
                        "execLoginTimestamp": 20210929123113,
                        "execTimestamp": 20210929123113
                    }
                ],
                "inputLanguage": "en",
                "translation": false
            }
    }

Processing of IBKR Agreements and Disclosures

Hosting firm will display IBKR agreements and disclosures within interface and collect electronic signature.
- Collect a signature for each form OR display all forms on a single page with a single signature box at the bottom and pass that signature within the documents section for each form.
- Example of IBKR’s Application as a reference
The signature, which is collected will be included in the signedBy section of the documents.
Hosting firm will provide copy of the IBKR agreements which were presented to user in the application payload that is submitted to IBKR for client registration.
- No changes should be made to the PDF (We validate the forms using sha1checksum if alterations have been made, error will be triggered and the form will not be accepted.
If a form is updated, hosting firm has a 7-calendar day grace period to update the form.