Forms and Disclosures

Regulatory Notices and Risk Disclosures

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

2017 Top 5 Venue and Execution Summary April 30, 2018

Additional Terms & Conditions for Use of Android Pay to Supplement Your Interactive Brokers Debit Mastercard Cardholder Agreement
October 24, 2017

Additional Terms & Conditions for Use of Apple Pay to Supplement Your Interactive Brokers Debit Mastercard Cardholder Agreement
October 24, 2017

Additional Terms & Conditions for Use of Samsung Pay to Supplement Your Interactive Brokers Debit Mastercard Cardholder Agreement
October 24, 2017

After-Hours Trading Risk DisclosureJune 2, 2015

Arbitration Agreement (Futures)November 28, 2012

ASX Explanatory Booklet: Understanding Options TradingJanuary 25, 2013

Australian Best Execution Policy - Retail ClientsDecember 14, 2011

Australian Best Execution Policy - Wholesale ClientsDecember 14, 2011

Canadian Client Complaint Resolution Process April 30, 2018

Canadian Client Consent of Electronic DeliveryMarch 5, 2004

Canadian Client Relationship Disclosure Information April 30, 2018

Canadian Introducing Broker Client Relationship Disclosure Info April 30, 2018

Canadian Notice of CRA Rules, Carrying on a Business in a TFSA April 30, 2018

Canadian Pro FA Client Relationship Disclosure Information April 30, 2018

Canadian Risk Disclosure, Uncovered Put Options in RRSP or TFSA April 30, 2018

Canadian Statement on AML, Anti-Terrorist Financing, Sanctions April 30, 2018

Canadian Statement of Policies, Privacy, Conflicts of Interest April 30, 2018

Canadian Investor Protection Fund (CIPF) Brochure April 26, 2018

Canadian Shareholders Communication Instruction Form February 12, 2008

Certification Regarding Correspondent Accounts for Foreign Banks April 24, 2009

CFTC Risk Disclosure Statement - Appendix A to Rule 1.55 April 9, 2014

CFTC Risk Disclosure Statement - Rule 1.55(b) April 9, 2014

CFTC Rule 15.05 Notice to Non-U.S. Traders January 23, 2013

China Connect Consent Agreement August 28, 2018

Customer Consent to Receive Mutual Fund Information Electronically June 8, 2010

Day Trading Risk Disclosure Statement May 5, 2009

Disclosure Concerning Auto Trading Service Providers August 29, 2013

Disclosure of Cash and Margin Account Trading Requirements, and Automatic Liquidation March 5, 2004

Disclosure of Risks of Margin Trading March 10, 2015

Disclosure of Risks of Trading Bitcoin Futures And Options December 19, 2017

Disclosure Regarding IB's Business Continuity Plan April 24, 2017

Disclosure Regarding IB's Procedures for Allocating Equity Option Exercise Notices May 31, 2007

Disclosure Regarding Interactive Brokers Pre-Borrow Program October 2, 2012

Disclosure Regarding Trading of FDIC-Insured Certificates of Deposit December 22, 2016

Distressed Bonds June 17, 2010

EMIR Notice January 22, 2014

EMIR Overview January 22, 2014

Euronext LIFFE Risk Disclosure April 15, 2008

Financial Services Guide Interactive Brokers (U.K.) Limited August 22, 2016

FINRA Investor Protection Information Resources January 7, 2013

FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts April 29, 2014

French Risk Disclosures February 21, 2008

Futures on Virtual Currencies Including Bitcoin August 16, 2018

Hong Kong IB-HK Acknowledgements (for residents of Hong Kong) August 31, 2017

Hong Kong Risk Disclosure August 11, 2017

How IIROC Protects Investors Brochure April 26, 2018

IB Disclosure Pursuant to FINRA Rule 5350 Regarding Stop and Stop-Limit Orders in U.S. Listed Stocks and Warrants October 18, 2013

IIROC Arbitration Agreement April 23, 2009

IIROC Risk Disclosure Statement April 23, 2009

Important Characteristics and Risks of Participating in Interactive Brokers Canada Fully-Paid Securities Lending Programs March 1, 2017

Important Characteristics and Risks of Participating in Interactive Brokers Fully-Paid Securities Lending Programs February 28, 2017

Important Characteristics and Risks of Participating in Interactive Brokers Hong Kong Limited Fully-Paid Securities Lending Program January 19, 2018

Interactive Brokers Group Cyber Security Notice March 24, 2016

Interactive Brokers Group Privacy Policy May 22, 2018

Interactive Brokers Australia Pty Ltd Best Execution Policy June 9, 2017

Interactive Brokers Australia Pty Ltd Contracts for Difference Product Disclosure Statement May 8, 2018

Interactive Brokers Australia Pty Ltd Exchange Traded Options Product Disclosure Statement April 5, 2018

Interactive Brokers Australia Pty Ltd Financial Services Guide April 5, 2018

Interactive Brokers Australia Pty Ltd Futures and Futures Options Product Disclosure Statement June 1, 2017

Interactive Brokers Australia Pty Ltd Privacy Policy June 1, 2017

Interactive Brokers Australia Pty Ltd Spot Foreign Exchange Product Disclosure Statement June 1, 2017

Interactive Brokers Canada Inc. BCP Disclosure April 30, 2018

Interactive Brokers Hong Kong Limited Client Money Standing Authority June 3, 2015

Interactive Brokers Hong Kong Limited Client Securities Standing Authority June 3, 2015

Interactive Brokers Hong Kong Ltd. Disclosure of Risks of Algorithmic Trading November 30, 2016

Interactive Brokers Hong Kong Limited Disclosure of Risks Of Margin Trading June 3, 2015

Interactive Brokers LLC (ARBN: 091 191 141) Australian Privacy SupplementMarch 27, 2017

Interactive Brokers LLC Financial Services Guide August 22, 2016

Interactive Brokers LLC Australian Product Disclosure Statement for Exchange Traded Options August 22, 2016

Interactive Brokers LLC Australian Product Disclosure Statement for Foreign Exchange Contracts April 5, 2018

Interactive Brokers LLC Australian Product Disclosure Statement for Futures April 5, 2018

Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n) February 26, 2018

Interactive Brokers LLC General Disclosure on Mutual Funds July 1, 2015

Interactive Brokers Risk Disclosure for Bond Trading January 9, 2013

Interactive Brokers (U.K.) Limited Disclosure under the Capital Requirements IV Directive April 15, 2015

Interactive Brokers (U.K) Limited - Modern Slavery Statement June 25, 2018

Interactive Brokers (U.K) Limited Summary of the Conflicts of Interest Policy January 3, 2018

Interactive Brokers (U.K.) Limited Order Execution Policy January 3, 2018

Interactive Brokers (U.K.) Limited Pillar 3 Disclosures April 30, 2018

Interactive Brokers (U.K.) Limited Remuneration Policy March 18, 2016

ISE Disclosure for Option Orders Over 500 Contracts May 22, 2012

Japanese Risk Disclosure February 24, 2011

Making a Complaint - A Guide for Investors Brochure (Part 1 of 2) April 26, 2018

How Can I Get My Money Back-A Guide for Investors Brochure (Part 2 of 2) April 26, 2018

MSRB Investor Brochure September 10, 2018

Municipal Risk Disclosure September 10, 2018

Notice of Clearing Arrangement for IB Canada Customers February 9, 2010

Notice of Execution and Clearing Agreement and Description of Contractual Relationship Between Interactive Brokers (U.K.) Limited and IB LLC April 17, 2013

Notice Regarding NFA's BASIC System April 21, 2009

Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges September 10, 2018

Notice Regarding USA PATRIOT Act Section 311 September 10, 2018

Notice to Australian Clients from Interactive Brokers LLC of Persons Holding Financial Products August 4, 2017

OCC Risk Disclosure February 10, 2017

Canadian Order Handling Disclosure March 6, 2018

Opening Your Retail Account brochure April 26, 2018

Order Routing & Payment for Orders Disclosure October 24, 2016

PAIB Agreement June 21, 2006

Penny Stock Trading Risk Disclosure April 13, 2015

Portfolio Margin Disclosure June 16, 2015

Pricing Disclosure under the European Market Infrastructure Regulation ("EMIR") August 15, 2014

Professional Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited January 3, 2018

Quebec Day Trading Risk Disclosure April 23, 2009

Recertification Regarding Corresponding Accounts for Foreign Banks April 24, 2009

Retail Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited January 3, 2018

Risk Disclosure and Supplemental Agreement for Security Futures Trading at Interactive Brokers September 10, 2018

Risk Disclosure Regarding Leveraged and Inverse Funds August 5, 2010

Risk Disclosure Statement For Forex and Multi-Currency Accounts July 11, 2018

Risk Disclosure Statement for Trading CFDs and Foreign Currencies with Interactive Brokers (U.K.) for Professional Clients July 31, 2018

Risk Disclosure Statement for Trading CFDs and Foreign Currencies with Interactive Brokers (U.K.) for Retail Clients July 31, 2018

Risk Disclosure Statement for Trading OTC Precious Metals with Interactive Brokers (U.K.) Limited ("IB UK") January 14, 2011

Risk Disclosure To Singapore-Based Customers Regarding Futures Contracts Or Leveraged Foreign Exchange Contracts Cleared At CME November 22, 2016

Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options April 21, 2009

Shortened (T+2) Settlement for Stock Purchases October 28, 2014

Singapore Risk Disclosure February 21, 2008

Spousal Consent Form August 7, 2009

Strip Bond Disclosure (English) April 26, 2018

Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited April 6, 2018

Swiss Bankers Association Special Risks in Securities Trading February 17, 2012

Trading on ASX 24 Customer Agreement August 22, 2012

Trustee Certification July 7, 2015

Unclaimed property notice for British Columbia Residents June 19, 2018

Understand the Risks of Virtual Currency Trading August 16, 2018

* 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").