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Interactive Brokers Regulatory Information

Interactive Brokers LLC ("IB") is an agency only, direct market access broker that provides execution, clearance, settlement and prime brokerage for customers. Our business encompasses securities and commodities brokerage. IB does not engage in proprietary trading.

As a registered Futures Commission Merchant ("FCM"), IB is subject to the Commodity Exchange Act and rules promulgated by the Commodity Futures Trading Commission ("CFTC"), the National Futures Association ("NFA") and the various commodity exchanges of which we are members.

As a registered U.S. broker dealer, IB is subject to the rules and regulations of the Securities Exchange Act of 1934 (the "Exchange Act") and other rules promulgated by the Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority ("FINRA") and the rules of various securities exchanges of which we are members.




Financial Information


Equity and regulatory capital for the past 12 months:

All $s in millions.

Month End Total Equity Adjusted Net Capital (Tentative Net Capital) Net Capital Excess Net Capital
2021-03 $5,793 $5,215 $5,211 $4,457
2021-02 $5,761 $4,970 $4,969 $4,198
2021-01 $5,752 $4,563 $4,561 $3,816
2020-12 $5,648 $5,124 $5,122 $4,448
2020-11 $6,180 $5,576 $5,565 $4,972
2020-10 $6,089 $4,372 $4,363 $3,810
2020-09 $6,001 $4,636 $4,621 $4,101
2020-08 $6,001 $4,414 $4,404 $3,861
2020-07 $5,960 $4,987 $4,966 $4,462
2020-06 $5,863 $5,077 $5,063 $4,610
2020-05 $5,930 $5,328 $5,314 $4,894
2020-04 $5,876 $5,255 $5,239 $4,860

IB Annual Financial Statements

Selected FOCUS Filings Data

Please see our Strength and Security page for an overview of how IB protects customer funds.

On a daily basis IB compares the amount of funds required to be safeguarded for its commodities customers to the funds held in specially designated segregated commodities accounts. We perform two daily commodities computations: (1) domestic futures segregated funds computation and (2) foreign futures and options secured amount computation.

U.S. securities regulations require broker-dealers to perform a detailed reconciliation of customer money and securities (known as the "Customer Reserve Computation") at least weekly, to ensure that the right amount of customer money is protected. IB performs this computation daily.

The tables below report these daily computations for the past 12 months.


Domestic Segregated Funds, pursuant to CFTC regulation 1.20

All $s in millions.

Date Requirement Funds Segregated Excess
2021-05-11 $7,146 $7,368 $221
2021-05-10 $7,112 $7,313 $202
2021-05-07 $7,080 $7,308 $228
2021-05-06 $7,015 $7,242 $227
2021-05-05 $6,888 $7,158 $270
2021-05-04 $6,879 $7,080 $201
2021-05-03 $6,877 $7,074 $197
2021-04-30 $6,757 $6,963 $206
2021-04-29 $6,752 $6,965 $213
2021-04-28 $6,782 $7,030 $249
2021-04-27 $6,844 $7,070 $226
2021-04-26 $6,801 $7,069 $268
2021-04-23 $6,768 $6,972 $204
2021-04-22 $6,756 $6,959 $203
2021-04-21 $6,732 $6,933 $201
2021-04-20 $6,671 $6,881 $209
2021-04-19 $6,636 $6,881 $245
2021-04-16 $6,721 $6,947 $226
2021-04-15 $6,754 $6,956 $202
2021-04-14 $6,652 $6,856 $204
2021-04-13 $6,577 $6,785 $208
2021-04-12 $6,487 $6,732 $245
2021-04-09 $6,449 $6,721 $272
2021-04-08 $6,539 $6,741 $201
2021-04-07 $6,491 $6,708 $217
2021-04-06 $6,539 $6,739 $200
2021-04-05 $6,461 $6,684 $223
2021-04-02 $6,429 $6,698 $270
2021-04-01 $6,497 $6,707 $209
2021-03-31 $6,449 $6,652 $203
2021-03-30 $6,361 $6,572 $211
2021-03-29 $6,407 $6,655 $248
2021-03-26 $6,436 $6,648 $212
2021-03-25 $6,345 $6,593 $248
2021-03-24 $6,507 $6,725 $218
2021-03-23 $6,365 $6,621 $256
2021-03-22 $6,456 $6,760 $304
2021-03-19 $6,612 $6,813 $201
2021-03-18 $6,453 $6,656 $202
2021-03-17 $6,500 $6,700 $201
2021-03-16 $6,475 $6,703 $228
2021-03-15 $6,525 $6,775 $250
2021-03-12 $6,564 $6,791 $227
2021-03-11 $6,599 $6,829 $229
2021-03-10 $6,523 $6,794 $271
2021-03-09 $6,575 $6,802 $227
2021-03-08 $6,495 $6,764 $269
2021-03-05 $6,543 $6,784 $241
2021-03-04 $6,506 $6,708 $203
2021-03-03 $6,560 $6,781 $221
2021-03-02 $6,533 $6,790 $256
2021-03-01 $6,541 $6,760 $219
2021-02-26 $6,538 $6,742 $204
2021-02-25 $6,666 $6,868 $202
2021-02-24 $6,629 $6,862 $234
2021-02-23 $6,571 $6,772 $201
2021-02-22 $6,563 $6,760 $197
2021-02-19 $6,432 $6,632 $200
2021-02-18 $6,244 $6,445 $201
2021-02-17 $6,133 $6,336 $203
2021-02-16 $6,060 $6,261 $201
2021-02-15 $5,999 $6,232 $233
2021-02-12 $6,016 $6,229 $213
2021-02-11 $6,006 $6,216 $210
2021-02-10 $5,979 $6,206 $227
2021-02-09 $6,066 $6,307 $241
2021-02-08 $6,041 $6,246 $205
2021-02-05 $5,891 $6,103 $213
2021-02-04 $5,850 $6,052 $201
2021-02-03 $5,885 $6,086 $200
2021-02-02 $5,811 $6,027 $216
2021-02-01 $5,920 $6,169 $249
2021-01-29 $5,834 $6,039 $205
2021-01-28 $5,690 $5,928 $238
2021-01-27 $5,695 $5,897 $201
2021-01-26 $5,698 $5,923 $225
2021-01-25 $5,717 $5,923 $206
2021-01-22 $5,720 $5,922 $202
2021-01-21 $5,766 $5,989 $223
2021-01-20 $5,813 $6,014 $201
2021-01-19 $5,823 $6,036 $213
2021-01-18 $5,819 $6,051 $232
2021-01-15 $5,819 $6,047 $228
2021-01-14 $5,999 $6,372 $372
2021-01-13 $6,035 $6,329 $294
2021-01-12 $6,072 $6,291 $218
2021-01-11 $5,999 $6,144 $145
2021-01-08 $5,975 $6,183 $208
2021-01-07 $6,149 $6,342 $193
2021-01-06 $6,059 $6,258 $199
2021-01-05 $6,088 $6,291 $202
2021-01-04 $5,937 $6,176 $239
2020-12-31 $5,795 $6,051 $256
2020-12-30 $5,835 $6,054 $218
2020-12-29 $5,775 $5,977 $203
2020-12-28 $5,725 $5,964 $239
2020-12-25 $5,609 $5,895 $286
2020-12-24 $5,652 $5,895 $243
2020-12-23 $5,675 $5,874 $199
2020-12-22 $5,633 $5,849 $216
2020-12-21 $5,679 $5,882 $203
2020-12-18 $5,677 $5,901 $224
2020-12-17 $5,697 $5,898 $201
2020-12-16 $5,566 $5,770 $204
2020-12-15 $5,521 $5,736 $215
2020-12-14 $5,483 $5,698 $215
2020-12-11 $5,463 $5,691 $228
2020-12-10 $5,495 $5,695 $200
2020-12-09 $5,462 $5,673 $211
2020-12-08 $5,493 $5,739 $246
2020-12-07 $5,536 $5,796 $259
2020-12-04 $5,553 $5,799 $247
2020-12-03 $5,601 $5,815 $214
2020-12-02 $5,580 $5,781 $201
2020-12-01 $5,548 $5,746 $198
2020-11-30 $5,511 $5,728 $217
2020-11-27 $5,460 $5,707 $247
2020-11-26 $5,486 $5,784 $298
2020-11-25 $5,535 $5,786 $251
2020-11-24 $5,556 $5,755 $198
2020-11-23 $5,506 $5,708 $202
2020-11-20 $5,557 $5,780 $222
2020-11-19 $5,507 $5,770 $263
2020-11-18 $5,594 $5,838 $244
2020-11-17 $5,645 $5,862 $217
2020-11-16 $5,635 $5,834 $199
2020-11-13 $5,550 $5,751 $201
2020-11-12 $5,547 $5,757 $210
2020-11-11 $5,538 $5,859 $321
2020-11-10 $5,579 $5,882 $304
2020-11-09 $5,578 $5,785 $206
2020-11-06 $5,601 $5,840 $239
2020-11-05 $5,638 $5,849 $211
2020-11-04 $5,563 $5,763 $201
2020-11-03 $5,560 $5,774 $214
2020-11-02 $5,548 $5,756 $209
2020-10-30 $5,518 $5,719 $201
2020-10-29 $5,454 $5,656 $202
2020-10-28 $5,474 $5,675 $202
2020-10-27 $5,566 $5,780 $215
2020-10-26 $5,519 $5,721 $202
2020-10-23 $5,489 $5,689 $200
2020-10-22 $5,493 $5,694 $201
2020-10-21 $5,481 $5,680 $199
2020-10-20 $5,447 $5,660 $214
2020-10-19 $5,433 $5,645 $212
2020-10-16 $5,393 $5,610 $216
2020-10-15 $5,413 $5,617 $203
2020-10-14 $5,424 $5,635 $211
2020-10-13 $5,376 $5,578 $202
2020-10-12 $5,375 $5,545 $170
2020-10-09 $5,411 $5,616 $205
2020-10-08 $5,364 $5,565 $201
2020-10-07 $5,332 $5,551 $220
2020-10-06 $5,416 $5,632 $216
2020-10-05 $5,411 $5,611 $200
2020-10-02 $5,337 $5,539 $202
2020-10-01 $5,353 $5,582 $229
2020-09-30 $5,368 $5,568 $200
2020-09-29 $5,356 $5,580 $224
2020-09-28 $5,343 $5,543 $200
2020-09-25 $5,329 $5,551 $222
2020-09-24 $5,389 $5,591 $202
2020-09-23 $5,366 $5,569 $203
2020-09-22 $5,412 $5,632 $219
2020-09-21 $5,438 $5,675 $237
2020-09-18 $5,616 $5,818 $202
2020-09-17 $5,587 $5,797 $210
2020-09-16 $5,613 $5,814 $201
2020-09-15 $5,570 $5,798 $227
2020-09-14 $5,591 $5,812 $221
2020-09-11 $5,591 $5,795 $204
2020-09-10 $5,609 $5,848 $238
2020-09-09 $5,588 $5,806 $218
2020-09-08 $5,586 $5,805 $220
2020-09-07 $5,528 $5,784 $256
2020-09-04 $5,557 $5,784 $228
2020-09-03 $5,571 $5,773 $202
2020-09-02 $5,413 $5,616 $202
2020-09-01 $5,482 $5,703 $221
2020-08-31 $5,498 $5,758 $260
2020-08-28 $5,529 $5,769 $241
2020-08-27 $5,499 $5,705 $205
2020-08-26 $5,554 $5,754 $200
2020-08-25 $5,516 $5,716 $200
2020-08-24 $5,521 $5,722 $201
2020-08-21 $5,529 $5,740 $211
2020-08-20 $5,575 $5,775 $200
2020-08-19 $5,593 $5,797 $204
2020-08-18 $5,670 $5,874 $204
2020-08-17 $5,651 $5,851 $201
2020-08-14 $5,536 $5,753 $218
2020-08-13 $5,591 $5,806 $215
2020-08-12 $5,534 $5,735 $200
2020-08-11 $5,524 $5,725 $202
2020-08-10 $5,598 $5,800 $202
2020-08-07 $5,520 $5,740 $220
2020-08-06 $5,637 $5,837 $200
2020-08-05 $5,596 $5,804 $208
2020-08-04 $5,571 $5,771 $200
2020-08-03 $5,492 $5,713 $221
2020-07-31 $5,530 $5,742 $211
2020-07-30 $5,525 $5,725 $200
2020-07-29 $5,518 $5,736 $218
2020-07-28 $5,541 $5,774 $233
2020-07-27 $5,529 $5,728 $199
2020-07-24 $5,421 $5,648 $227
2020-07-23 $5,365 $5,634 $269
2020-07-22 $5,364 $5,570 $206
2020-07-21 $5,342 $5,542 $200
2020-07-20 $5,272 $5,502 $229
2020-07-17 $5,331 $5,555 $224
2020-07-16 $5,346 $5,558 $212
2020-07-15 $5,357 $5,558 $201
2020-07-14 $5,367 $5,571 $204
2020-07-13 $5,414 $5,626 $212
2020-07-10 $5,400 $5,601 $200
2020-07-09 $5,407 $5,617 $210
2020-07-08 $5,437 $5,637 $200
2020-07-07 $5,416 $5,618 $202
2020-07-06 $5,354 $5,586 $232
2020-07-03 $5,376 $5,639 $263
2020-07-02 $5,439 $5,639 $200
2020-07-01 $5,439 $5,643 $204
2020-06-30 $5,450 $5,650 $200
2020-06-29 $5,449 $5,663 $215
2020-06-26 $5,463 $5,704 $242
2020-06-25 $5,459 $5,660 $201
2020-06-24 $5,428 $5,631 $203
2020-06-23 $5,399 $5,625 $226
2020-06-22 $5,422 $5,621 $199
2020-06-19 $5,381 $5,603 $222
2020-06-18 $5,384 $5,682 $298
2020-06-17 $5,414 $5,700 $286
2020-06-16 $5,494 $5,697 $202
2020-06-15 $5,540 $5,760 $220
2020-06-12 $5,546 $5,806 $260
2020-06-11 $5,613 $5,819 $206
2020-06-10 $5,522 $5,762 $240
2020-06-09 $5,525 $5,728 $203
2020-06-08 $5,437 $5,634 $197
2020-06-05 $5,471 $5,672 $201
2020-06-04 $5,547 $5,754 $207
2020-06-03 $5,491 $5,693 $202
2020-06-02 $5,523 $5,752 $230
2020-06-01 $5,505 $5,778 $273
2020-05-29 $5,605 $5,807 $202
2020-05-28 $5,539 $5,743 $204
2020-05-27 $5,506 $5,710 $204
2020-05-26 $5,530 $5,742 $213
2020-05-25 $5,544 $5,790 $246
2020-05-22 $5,564 $5,789 $226
2020-05-21 $5,585 $5,838 $253
2020-05-20 $5,579 $5,787 $208
2020-05-19 $5,633 $5,834 $201
2020-05-18 $5,576 $5,775 $199
2020-05-15 $5,646 $5,848 $202
2020-05-14 $5,609 $5,834 $225
2020-05-13 $5,631 $5,884 $253
2020-05-12 $5,621 $6,218 $598
2020-05-11 $5,917 $6,160 $244

Foreign Secured Amount, pursuant to CFTC regulation 30.7

All $s in millions.

Date Requirement Funds Secured Excess
2021-05-11 $506 $629 $123
2021-05-10 $511 $640 $129
2021-05-07 $510 $630 $119
2021-05-06 $504 $629 $124
2021-05-05 $503 $633 $131
2021-05-04 $493 $617 $124
2021-05-03 $493 $627 $133
2021-04-30 $494 $616 $121
2021-04-29 $500 $621 $120
2021-04-28 $496 $618 $121
2021-04-27 $494 $618 $124
2021-04-26 $493 $639 $146
2021-04-23 $494 $616 $122
2021-04-22 $492 $615 $124
2021-04-21 $491 $621 $131
2021-04-20 $490 $644 $154
2021-04-19 $495 $616 $121
2021-04-16 $491 $612 $121
2021-04-15 $487 $611 $124
2021-04-14 $486 $622 $136
2021-04-13 $481 $615 $134
2021-04-12 $479 $613 $134
2021-04-09 $482 $616 $135
2021-04-08 $486 $610 $124
2021-04-07 $483 $616 $133
2021-04-06 $487 $643 $155
2021-04-05 $483 $606 $123
2021-04-02 $484 $607 $122
2021-04-01 $483 $603 $120
2021-03-31 $476 $597 $121
2021-03-30 $480 $604 $124
2021-03-29 $476 $607 $130
2021-03-26 $482 $613 $131
2021-03-25 $474 $595 $121
2021-03-24 $478 $599 $121
2021-03-23 $482 $615 $132
2021-03-22 $488 $613 $124
2021-03-19 $488 $609 $120
2021-03-18 $497 $618 $121
2021-03-17 $494 $625 $132
2021-03-16 $492 $614 $122
2021-03-15 $490 $627 $137
2021-03-12 $490 $613 $122
2021-03-11 $498 $619 $121
2021-03-10 $491 $613 $122
2021-03-09 $491 $616 $125
2021-03-08 $488 $625 $137
2021-03-05 $490 $613 $123
2021-03-04 $494 $619 $125
2021-03-03 $502 $630 $128
2021-03-02 $493 $617 $123
2021-03-01 $500 $633 $133
2021-02-26 $500 $621 $121
2021-02-25 $513 $633 $121
2021-02-24 $507 $640 $133
2021-02-23 $510 $666 $156
2021-02-22 $510 $638 $129
2021-02-19 $513 $652 $140
2021-02-18 $511 $632 $121
2021-02-17 $514 $636 $122
2021-02-16 $516 $646 $130
2021-02-15 $510 $629 $119
2021-02-12 $500 $648 $148
2021-02-11 $500 $623 $122
2021-02-10 $499 $623 $124
2021-02-09 $497 $616 $119
2021-02-08 $495 $625 $131
2021-02-05 $491 $613 $123
2021-02-04 $488 $626 $138
2021-02-03 $490 $617 $127
2021-02-02 $490 $639 $149
2021-02-01 $480 $601 $121
2021-01-29 $473 $593 $120
2021-01-28 $476 $599 $123
2021-01-27 $486 $623 $137
2021-01-26 $491 $629 $138
2021-01-25 $496 $637 $141
2021-01-22 $497 $618 $121
2021-01-21 $502 $638 $136
2021-01-20 $500 $626 $126
2021-01-19 $502 $631 $129
2021-01-18 $501 $639 $137
2021-01-15 $500 $652 $152
2021-01-14 $510 $661 $152
2021-01-13 $517 $689 $172
2021-01-12 $556 $699 $142
2021-01-11 $569 $851 $282
2021-01-08 $584 $730 $146
2021-01-07 $597 $723 $127
2021-01-06 $593 $722 $129
2021-01-05 $582 $701 $120
2021-01-04 $579 $708 $129
2020-12-31 $573 $713 $140
2020-12-30 $576 $704 $129
2020-12-29 $569 $703 $134
2020-12-28 $566 $700 $134
2020-12-25 $555 $698 $143
2020-12-24 $557 $695 $138
2020-12-23 $556 $690 $133
2020-12-22 $554 $693 $139
2020-12-21 $558 $683 $125
2020-12-18 $563 $686 $123
2020-12-17 $573 $692 $120
2020-12-16 $565 $685 $120
2020-12-15 $562 $683 $121
2020-12-14 $559 $687 $128
2020-12-11 $558 $679 $120
2020-12-10 $562 $686 $123
2020-12-09 $561 $681 $120
2020-12-08 $560 $682 $122
2020-12-07 $555 $676 $121
2020-12-04 $559 $683 $124
2020-12-03 $557 $678 $121
2020-12-02 $555 $681 $127
2020-12-01 $562 $689 $128
2020-11-30 $550 $671 $121
2020-11-27 $558 $680 $122
2020-11-26 $551 $675 $124
2020-11-25 $549 $672 $123
2020-11-24 $546 $671 $126
2020-11-23 $540 $666 $126
2020-11-20 $536 $666 $130
2020-11-19 $543 $672 $130
2020-11-18 $548 $695 $147
2020-11-17 $630 $763 $133
2020-11-16 $624 $744 $120
2020-11-13 $613 $742 $129
2020-11-12 $614 $743 $129
2020-11-11 $615 $736 $120
2020-11-10 $612 $734 $122
2020-11-09 $610 $731 $121
2020-11-06 $592 $712 $120
2020-11-05 $590 $713 $123
2020-11-04 $574 $698 $124
2020-11-03 $567 $686 $119
2020-11-02 $553 $683 $130
2020-10-30 $555 $681 $126
2020-10-29 $557 $682 $125
2020-10-28 $555 $688 $132
2020-10-27 $575 $697 $123
2020-10-26 $580 $702 $123
2020-10-23 $585 $707 $122
2020-10-22 $583 $706 $123
2020-10-21 $584 $705 $121
2020-10-20 $586 $709 $123
2020-10-19 $586 $708 $122
2020-10-16 $589 $715 $126
2020-10-15 $581 $702 $120
2020-10-14 $585 $715 $130
2020-10-13 $585 $712 $127
2020-10-12 $587 $721 $134
2020-10-09 $582 $702 $119
2020-10-08 $581 $706 $124
2020-10-07 $581 $706 $125
2020-10-06 $579 $701 $122
2020-10-05 $576 $699 $122
2020-10-02 $573 $695 $122
2020-10-01 $576 $702 $126
2020-09-30 $580 $701 $120
2020-09-29 $584 $715 $130
2020-09-28 $595 $716 $121
2020-09-25 $588 $717 $129
2020-09-24 $591 $718 $128
2020-09-23 $593 $716 $123
2020-09-22 $599 $720 $121
2020-09-21 $602 $726 $124
2020-09-18 $607 $736 $129
2020-09-17 $607 $727 $120
2020-09-16 $606 $726 $120
2020-09-15 $609 $732 $123
2020-09-14 $605 $729 $124
2020-09-11 $602 $722 $120
2020-09-10 $597 $718 $121
2020-09-09 $598 $718 $120
2020-09-08 $601 $726 $125
2020-09-07 $601 $719 $118
2020-09-04 $603 $736 $132
2020-09-03 $611 $732 $120
2020-09-02 $609 $729 $120
2020-09-01 $604 $724 $120
2020-08-31 $603 $729 $126
2020-08-28 $611 $739 $128
2020-08-27 $605 $730 $124
2020-08-26 $613 $740 $127
2020-08-25 $622 $745 $123
2020-08-24 $628 $754 $125
2020-08-21 $620 $743 $123
2020-08-20 $623 $743 $120
2020-08-19 $627 $751 $124
2020-08-18 $632 $751 $119
2020-08-17 $630 $757 $126
2020-08-14 $628 $750 $122
2020-08-13 $629 $753 $124
2020-08-12 $632 $753 $122
2020-08-11 $628 $748 $120
2020-08-10 $624 $744 $121
2020-08-07 $621 $743 $122
2020-08-06 $627 $748 $121
2020-08-05 $630 $750 $121
2020-08-04 $630 $751 $121
2020-08-03 $627 $754 $127
2020-07-31 $630 $757 $127
2020-07-30 $632 $755 $123
2020-07-29 $627 $749 $121
2020-07-28 $623 $744 $121
2020-07-27 $619 $744 $126
2020-07-24 $620 $740 $120
2020-07-23 $627 $750 $123
2020-07-22 $626 $755 $129
2020-07-21 $620 $742 $122
2020-07-20 $617 $749 $133
2020-07-17 $620 $740 $120
2020-07-16 $616 $737 $121
2020-07-15 $613 $732 $119
2020-07-14 $602 $724 $122
2020-07-13 $594 $714 $119
2020-07-10 $591 $715 $124
2020-07-09 $596 $717 $121
2020-07-08 $595 $715 $120
2020-07-07 $592 $717 $125
2020-07-06 $591 $709 $119
2020-07-03 $573 $693 $119
2020-07-02 $572 $693 $121
2020-07-01 $570 $690 $120
2020-06-30 $575 $696 $121
2020-06-29 $579 $699 $121
2020-06-26 $578 $704 $126
2020-06-25 $582 $710 $128
2020-06-24 $584 $705 $121
2020-06-23 $583 $702 $120
2020-06-22 $585 $707 $122
2020-06-19 $578 $702 $123
2020-06-18 $584 $714 $130
2020-06-17 $586 $712 $126
2020-06-16 $592 $714 $122
2020-06-15 $602 $735 $133
2020-06-12 $598 $729 $131
2020-06-11 $598 $724 $127
2020-06-10 $597 $722 $126
2020-06-09 $597 $716 $119
2020-06-08 $596 $719 $123
2020-06-05 $594 $727 $133
2020-06-04 $592 $713 $121
2020-06-03 $591 $712 $121
2020-06-02 $591 $714 $124
2020-06-01 $589 $708 $119
2020-05-29 $587 $710 $123
2020-05-28 $584 $701 $118
2020-05-27 $580 $701 $120
2020-05-26 $574 $703 $129
2020-05-25 $575 $697 $122
2020-05-22 $576 $697 $121
2020-05-21 $569 $691 $122
2020-05-20 $568 $692 $125
2020-05-19 $565 $701 $136
2020-05-18 $573 $694 $121
2020-05-15 $562 $685 $123
2020-05-14 $569 $704 $136
2020-05-13 $570 $692 $122
2020-05-12 $568 $692 $125
2020-05-11 $566 $691 $125

CFTC Regulation 1.55(o)(1)(iv) Disclosure12/31/2014


CFTC Computation Details
Securities Customer Reserve, pursuant to the SEC rule 15c3-3

All $s in millions.

Date Requirement Funds Segregated Excess
2021-05-10 $15,309 $15,554 $245
2021-05-07 $15,119 $15,364 $245
2021-05-06 $15,627 $15,884 $257
2021-05-05 $15,390 $15,640 $251
2021-05-04 $15,560 $15,815 $256
2021-05-03 $15,342 $15,597 $255
2021-04-30 $15,200 $15,457 $257
2021-04-29 $15,041 $15,300 $259
2021-04-28 $15,296 $15,544 $248
2021-04-27 $15,553 $15,809 $255
2021-04-26 $15,579 $15,818 $239
2021-04-23 $15,308 $15,555 $247
2021-04-22 $15,767 $16,013 $246
2021-04-21 $15,961 $16,212 $252
2021-04-20 $15,627 $15,877 $250
2021-04-19 $15,184 $15,445 $260
2021-04-16 $15,701 $15,951 $250
2021-04-15 $16,412 $16,653 $241
2021-04-14 $16,831 $17,096 $265
2021-04-13 $16,916 $17,163 $246
2021-04-12 $17,217 $17,483 $266
2021-04-09 $17,829 $18,072 $243
2021-04-08 $18,305 $18,545 $240
2021-04-07 $19,338 $19,601 $263
2021-04-06 $20,280 $20,531 $251
2021-04-05 $20,841 $21,116 $276
2021-04-02 $21,547 $21,810 $263
2021-03-31 $21,618 $21,880 $262
2021-03-30 $22,174 $22,404 $229
2021-03-29 $22,068 $22,306 $238
2021-03-26 $22,224 $22,455 $231
2021-03-25 $21,346 $21,577 $231
2021-03-24 $21,624 $21,875 $251
2021-03-23 $21,509 $21,766 $257
2021-03-22 $21,412 $21,686 $274
2021-03-19 $21,237 $21,501 $264
2021-03-18 $21,719 $21,961 $243
2021-03-17 $22,442 $22,644 $202
2021-03-16 $22,558 $22,820 $263
2021-03-15 $22,900 $23,153 $253
2021-03-12 $23,472 $23,730 $258
2021-03-11 $23,450 $23,644 $194
2021-03-10 $23,687 $23,944 $257
2021-03-09 $23,405 $23,678 $273
2021-03-08 $23,678 $23,963 $286
2021-03-05 $22,953 $23,150 $197
2021-03-04 $23,226 $23,464 $238
2021-03-03 $23,323 $23,534 $211
2021-03-02 $23,341 $23,544 $203
2021-03-01 $22,802 $23,076 $274
2021-02-26 $22,087 $22,365 $278
2021-02-25 $22,755 $23,044 $290
2021-02-24 $22,647 $22,781 $133
2021-02-23 $22,242 $22,475 $233
2021-02-22 $22,167 $22,425 $258
2021-02-19 $22,521 $22,755 $234
2021-02-18 $22,524 $22,764 $240
2021-02-17 $22,870 $23,143 $273
2021-02-16 $21,552 $21,809 $256
2021-02-15 $21,568 $21,784 $216
2021-02-11 $21,733 $21,969 $235
2021-02-10 $21,915 $22,162 $246
2021-02-09 $21,310 $21,572 $262
2021-02-08 $21,792 $22,045 $253
2021-02-05 $22,223 $22,472 $249
2021-02-04 $22,836 $23,077 $241
2021-02-03 $23,207 $23,460 $254
2021-02-02 $23,177 $23,416 $239
2021-02-01 $23,055 $23,294 $239
2021-01-29 $22,857 $23,113 $256
2021-01-28 $22,770 $23,015 $246
2021-01-27 $21,490 $21,727 $237
2021-01-26 $21,720 $21,979 $259
2021-01-25 $21,784 $22,034 $250
2021-01-22 $21,747 $22,013 $266
2021-01-21 $22,524 $22,778 $254
2021-01-20 $23,129 $23,376 $247
2021-01-19 $22,981 $23,233 $252
2021-01-18 $22,961 $23,487 $526
2021-01-14 $24,074 $24,352 $278
2021-01-13 $24,382 $24,622 $240
2021-01-12 $24,687 $24,959 $271
2021-01-11 $25,125 $25,373 $248
2021-01-08 $25,293 $25,527 $233
2021-01-07 $25,294 $25,523 $229
2021-01-06 $25,302 $25,529 $227
2021-01-05 $25,105 $25,303 $198
2021-01-04 $24,761 $24,992 $231
2020-12-31 $24,289 $24,546 $257
2020-12-30 $23,968 $24,222 $253
2020-12-29 $24,280 $24,534 $254
2020-12-28 $24,624 $24,872 $247
2020-12-25 $24,879 $25,134 $255
2020-12-23 $25,325 $25,580 $255
2020-12-22 $25,331 $25,568 $237
2020-12-21 $24,698 $24,961 $263
2020-12-18 $24,997 $25,247 $250
2020-12-17 $25,403 $25,649 $246
2020-12-16 $25,528 $25,770 $242
2020-12-15 $25,621 $25,866 $245
2020-12-14 $25,898 $26,141 $243
2020-12-11 $26,019 $26,268 $250
2020-12-10 $25,736 $26,007 $272
2020-12-09 $25,800 $26,069 $270
2020-12-08 $26,266 $26,500 $234
2020-12-07 $26,375 $26,631 $257
2020-12-04 $26,028 $26,304 $276
2020-12-03 $26,243 $26,467 $224
2020-12-02 $25,988 $26,259 $271
2020-12-01 $26,465 $26,709 $244
2020-11-30 $26,123 $26,326 $204
2020-11-27 $25,889 $26,140 $251
2020-11-26 $26,004 $26,272 $268
2020-11-24 $26,369 $26,619 $250
2020-11-23 $26,267 $26,511 $244
2020-11-20 $26,058 $26,295 $238
2020-11-19 $26,573 $26,835 $262
2020-11-18 $26,415 $26,674 $259
2020-11-17 $26,679 $26,923 $245
2020-11-16 $26,765 $27,038 $272
2020-11-13 $26,649 $26,895 $246
2020-11-12 $27,212 $27,448 $235
2020-11-11 $26,822 $27,124 $302
2020-11-10 $26,600 $26,681 $81
2020-11-09 $26,207 $26,431 $224
2020-11-06 $26,351 $26,545 $195
2020-11-05 $25,643 $25,872 $229
2020-11-04 $25,929 $26,176 $247
2020-11-03 $25,397 $25,705 $308
2020-11-02 $25,043 $25,280 $238
2020-10-30 $24,646 $24,906 $260
2020-10-29 $24,606 $24,806 $200
2020-10-28 $24,536 $24,763 $226
2020-10-27 $24,421 $24,673 $252
2020-10-26 $24,572 $24,833 $260
2020-10-23 $24,488 $24,754 $265
2020-10-22 $24,405 $24,660 $255
2020-10-21 $24,726 $24,956 $230
2020-10-20 $24,791 $25,032 $240
2020-10-19 $24,682 $24,928 $246
2020-10-16 $24,770 $25,011 $241
2020-10-15 $24,480 $24,724 $243
2020-10-14 $24,719 $24,963 $244
2020-10-13 $24,652 $24,902 $250
2020-10-12 $24,930 $25,207 $277
2020-10-09 $24,633 $25,173 $540
2020-10-08 $24,932 $25,173 $241
2020-10-07 $24,593 $24,856 $263
2020-10-06 $24,906 $25,129 $223
2020-10-05 $24,882 $25,144 $263
2020-10-02 $25,441 $25,652 $211
2020-10-01 $25,567 $25,810 $243
2020-09-30 $25,313 $25,567 $254
2020-09-29 $25,436 $25,663 $227
2020-09-28 $25,473 $25,733 $260
2020-09-25 $25,399 $25,650 $252
2020-09-24 $24,871 $25,123 $253
2020-09-23 $24,876 $25,128 $252
2020-09-22 $24,758 $25,005 $247
2020-09-21 $25,023 $25,278 $254
2020-09-18 $25,275 $25,530 $256
2020-09-17 $25,561 $25,805 $244
2020-09-16 $25,779 $26,028 $250
2020-09-15 $26,185 $26,433 $248
2020-09-14 $26,257 $26,503 $246
2020-09-11 $26,430 $26,671 $241
2020-09-10 $26,711 $26,968 $258
2020-09-09 $27,152 $27,408 $256
2020-09-08 $27,813 $28,060 $247
2020-09-07 $27,144 $27,410 $266
2020-09-03 $26,676 $26,888 $212
2020-09-02 $26,775 $27,031 $257
2020-09-01 $26,805 $27,056 $252
2020-08-31 $26,991 $27,253 $262
2020-08-28 $26,797 $27,040 $243
2020-08-27 $26,819 $27,088 $268
2020-08-26 $27,107 $27,335 $228
2020-08-25 $27,178 $27,429 $251
2020-08-24 $26,405 $26,643 $238
2020-08-21 $26,109 $26,350 $242
2020-08-20 $26,148 $26,397 $250
2020-08-19 $26,195 $26,456 $262
2020-08-18 $26,714 $26,956 $242
2020-08-17 $26,952 $27,213 $261
2020-08-14 $27,059 $27,363 $304
2020-08-13 $27,050 $27,309 $260
2020-08-12 $26,819 $27,049 $230
2020-08-11 $26,949 $27,182 $233
2020-08-10 $26,679 $26,902 $224
2020-08-07 $26,839 $27,081 $242
2020-08-06 $26,580 $26,817 $237
2020-08-05 $26,408 $26,663 $254
2020-08-04 $26,698 $26,929 $232
2020-08-03 $27,052 $27,322 $269
2020-07-31 $26,841 $27,091 $250
2020-07-30 $27,140 $27,404 $264
2020-07-29 $27,330 $27,589 $259
2020-07-28 $27,569 $27,833 $264
2020-07-27 $27,394 $27,663 $269
2020-07-24 $27,129 $27,365 $236
2020-07-23 $27,236 $27,485 $249
2020-07-22 $27,131 $27,388 $256
2020-07-21 $27,404 $27,652 $248
2020-07-20 $27,689 $27,944 $255
2020-07-17 $27,772 $28,024 $253
2020-07-16 $27,726 $27,972 $246
2020-07-15 $27,817 $28,076 $259
2020-07-14 $27,754 $28,009 $255
2020-07-13 $27,587 $27,829 $243
2020-07-10 $28,222 $28,480 $259
2020-07-09 $28,100 $28,327 $227
2020-07-08 $27,814 $28,088 $274
2020-07-07 $28,344 $28,579 $235
2020-07-06 $28,532 $28,811 $278
2020-07-03 $28,741 $28,969 $228
2020-07-01 $29,015 $29,282 $267
2020-06-30 $29,279 $29,508 $229
2020-06-29 $29,628 $29,873 $245
2020-06-26 $30,278 $30,542 $264
2020-06-25 $29,506 $29,790 $283
2020-06-24 $29,425 $29,672 $247
2020-06-23 $29,455 $29,723 $268
2020-06-22 $28,442 $28,692 $250
2020-06-19 $28,550 $28,792 $242
2020-06-18 $28,865 $29,117 $252
2020-06-17 $29,733 $29,998 $265
2020-06-16 $29,735 $29,994 $259
2020-06-15 $30,420 $30,659 $238
2020-06-12 $29,289 $29,535 $245
2020-06-11 $29,776 $30,005 $229
2020-06-10 $30,200 $30,488 $288
2020-06-09 $30,122 $30,435 $313
2020-06-08 $29,166 $29,765 $599
2020-06-05 $28,637 $28,913 $275
2020-06-04 $28,997 $29,182 $185
2020-06-03 $29,126 $29,337 $211
2020-06-02 $29,438 $29,633 $196
2020-06-01 $29,294 $29,530 $235
2020-05-29 $29,099 $29,345 $247
2020-05-28 $29,506 $29,797 $291
2020-05-27 $29,714 $29,961 $247
2020-05-26 $29,711 $29,966 $255
2020-05-25 $29,325 $29,557 $232
2020-05-21 $29,636 $29,901 $264
2020-05-20 $29,673 $29,937 $264
2020-05-19 $29,812 $30,068 $257
2020-05-18 $29,666 $29,937 $271
2020-05-15 $30,007 $30,187 $180
2020-05-14 $29,789 $30,034 $244
2020-05-13 $30,009 $30,269 $259
2020-05-12 $30,218 $30,494 $276
2020-05-11 $29,812 $30,102 $290

The below table provides concentration statistics of IB's domestic and foreign commodities funds owed to customers, as indicated by the smallest number of IB customers that make up 50% of these amounts.

"N/A" in the table below indicates a settlement holiday.

Date Domestic Segregated Foreign Secured
Smallest number of customers that comprise 50% of the funds owed to customers
2021-05-11 241 34
2021-05-10 242 33
2021-05-07 245 33
2021-05-06 246 32
2021-05-05 255 32
2021-05-04 258 33
2021-05-03 253 33
2021-04-30 262 32
2021-04-29 263 31
2021-04-28 259 31
2021-04-27 254 32
2021-04-26 257 32
2021-04-23 261 31
2021-04-22 263 31
2021-04-21 265 31
2021-04-20 263 32
2021-04-19 265 32
2021-04-16 256 32
2021-04-15 256 33
2021-04-14 261 32
2021-04-13 266 32
2021-04-12 271 33
2021-04-09 280 32
2021-04-08 268 31
2021-04-07 267 31
2021-04-06 265 30
2021-04-05 273 30
2021-04-02 272 30
2021-04-01 264 31
2021-03-31 269 32
2021-03-30 278 33
2021-03-29 272 33
2021-03-26 272 34
2021-03-25 292 33
2021-03-24 271 33
2021-03-23 290 32
2021-03-22 280 31
2021-03-19 268 32
2021-03-18 285 30
2021-03-17 276 31
2021-03-16 281 31
2021-03-15 271 31
2021-03-12 266 32
2021-03-11 262 31
2021-03-10 264 32
2021-03-09 261 32
2021-03-08 262 33
2021-03-05 264 32
2021-03-04 265 31
2021-03-03 258 31
2021-03-02 261 31
2021-03-01 265 30
2021-02-26 270 32
2021-02-25 264 32
2021-02-24 267 31
2021-02-23 276 31
2021-02-22 275 31
2021-02-19 281 31
2021-02-18 305 31
2021-02-17 322 30
2021-02-16 326 30
2021-02-15 332 30
2021-02-12 333 30
2021-02-11 336 30
2021-02-10 343 30
2021-02-09 330 31
2021-02-08 328 31
2021-02-05 337 31
2021-02-04 338 30
2021-02-03 334 30
2021-02-02 344 30
2021-02-01 339 33
2021-01-29 344 34
2021-01-28 357 34
2021-01-27 363 33
2021-01-26 360 33
2021-01-25 358 34
2021-01-22 361 33
2021-01-21 362 32
2021-01-20 363 33
2021-01-19 368 33
2021-01-18 372 35
2021-01-15 379 35
2021-01-14 367 35
2021-01-13 373 38
2021-01-12 375 34
2021-01-11 411 32
2021-01-08 430 33
2021-01-07 426 33
2021-01-06 443 33
2021-01-05 441 34
2021-01-04 459 34
2020-12-31 459 35
2020-12-30 455 35
2020-12-29 457 36
2020-12-28 467 37
2020-12-25 471 38
2020-12-24 469 38
2020-12-23 471 39
2020-12-22 481 39
2020-12-21 480 38
2020-12-18 471 37
2020-12-17 469 36
2020-12-16 474 37
2020-12-15 477 38
2020-12-14 479 37
2020-12-11 486 37
2020-12-10 480 37
2020-12-09 482 36
2020-12-08 472 36
2020-12-07 461 36
2020-12-04 461 36
2020-12-03 459 38
2020-12-02 457 38
2020-12-01 469 36
2020-11-30 459 38
2020-11-27 460 36
2020-11-26 462 37
2020-11-25 451 38
2020-11-24 446 39
2020-11-23 455 39
2020-11-20 456 40
2020-11-19 469 38
2020-11-18 454 37
2020-11-17 436 22
2020-11-16 425 23
2020-11-13 446 24
2020-11-12 447 23
2020-11-11 444 23
2020-11-10 437 23
2020-11-09 452 23
2020-11-06 465 24
2020-11-05 454 25
2020-11-04 456 27
2020-11-03 440 27
2020-11-02 428 29
2020-10-30 437 28
2020-10-29 452 28
2020-10-28 449 29
2020-10-27 426 28
2020-10-26 435 28
2020-10-23 431 28
2020-10-22 434 28
2020-10-21 443 28
2020-10-20 441 27
2020-10-19 443 27
2020-10-16 451 26
2020-10-15 454 26
2020-10-14 446 26
2020-10-13 454 26
2020-10-12 463 26
2020-10-09 448 27
2020-10-08 447 28
2020-10-07 460 28
2020-10-06 446 29
2020-10-05 445 31
2020-10-02 462 31
2020-10-01 457 31
2020-09-30 455 30
2020-09-29 459 30
2020-09-28 457 29
2020-09-25 463 30
2020-09-24 461 29
2020-09-23 465 29
2020-09-22 454 29
2020-09-21 450 29
2020-09-18 428 29
2020-09-17 436 30
2020-09-16 432 30
2020-09-15 437 30
2020-09-14 432 31
2020-09-11 431 31
2020-09-10 433 32
2020-09-09 436 32
2020-09-08 423 31
2020-09-07 430 32
2020-09-04 434 31
2020-09-03 441 30
2020-09-02 451 29
2020-09-01 446 31
2020-08-31 442 31
2020-08-28 445 30
2020-08-27 451 31
2020-08-26 438 31
2020-08-25 444 30
2020-08-24 450 30
2020-08-21 449 31
2020-08-20 452 31
2020-08-19 457 30
2020-08-18 445 30
2020-08-17 443 30
2020-08-14 460 31
2020-08-13 452 31
2020-08-12 464 31
2020-08-11 476 31
2020-08-10 459 32
2020-08-07 478 32
2020-08-06 462 32
2020-08-05 462 32
2020-08-04 451 32
2020-08-03 466 32
2020-07-31 461 33
2020-07-30 456 32
2020-07-29 458 31
2020-07-28 452 31
2020-07-27 453 31
2020-07-24 460 32
2020-07-23 478 31
2020-07-22 455 31
2020-07-21 451 32
2020-07-20 437 32
2020-07-17 424 33
2020-07-16 422 33
2020-07-15 418 34
2020-07-14 421 37
2020-07-13 424 38
2020-07-10 417 40
2020-07-09 426 42
2020-07-08 420 41
2020-07-07 422 41
2020-07-06 422 41
2020-07-03 417 42
2020-07-02 412 41
2020-07-01 415 41
2020-06-30 420 39
2020-06-29 423 39
2020-06-26 423 40
2020-06-25 419 41
2020-06-24 441 41
2020-06-23 440 41
2020-06-22 430 40
2020-06-19 454 40
2020-06-18 443 41
2020-06-17 446 42
2020-06-16 425 42
2020-06-15 419 42
2020-06-12 432 42
2020-06-11 439 42
2020-06-10 415 40
2020-06-09 406 40
2020-06-08 415 39
2020-06-05 418 40
2020-06-04 414 40
2020-06-03 418 42
2020-06-02 418 43
2020-06-01 432 43
2020-05-29 415 42
2020-05-28 429 42
2020-05-27 430 43
2020-05-26 425 43
2020-05-25 432 43
2020-05-22 428 43
2020-05-21 431 43
2020-05-20 437 44
2020-05-19 435 44
2020-05-18 454 44
2020-05-15 452 46
2020-05-14 464 45
2020-05-13 459 44
2020-05-12 454 43
2020-05-11 354 43

IB does not conduct proprietary trading. However, certain IB affiliates (defined as entities under common control and employees of the firm) hold accounts with IB to trade for their own purposes. For regulatory purposes, IB's affiliates are not treated as customers.

The table below reports the last 12 months of margin requirements for affiliate accounts conducting proprietary trading as a percent of total margin requirements for IB's customers.

All $s in millions.

Month End Affiliate Proprietary Margin Requirement Total Customer Margin Requirement Affiliate Proprietary Margin Requirement as % of Total Customer Margin Requirement
2021-03 $27 $2,143 1.28%
2021-02 $11 $2,187 0.50%
2021-01 $11 $1,911 0.56%
2020-12 $11 $1,944 0.55%
2020-11 $12 $1,988 0.61%
2020-10 $11 $1,964 0.55%
2020-09 $10 $1,835 0.55%
2020-08 $10 $1,986 0.51%
2020-07 $10 $2,012 0.49%
2020-06 $10 $2,016 0.51%
2020-05 $10 $2,093 0.48%
2020-04 $11 $1,872 0.58%



Regulatory Disclosures

Please click below for the Interactive Brokers Firm Specific Disclosure Document required by CFTC Rule 1.55(k).
Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n)




Additional Information

Additional information is available on the National Futures Association website by searching for Interactive Brokers LLC in NFA's BASIC system (http://www.nfa.futures.org/basicnet/), clicking on "Interactive Brokers LLC", then "View Financial Information" and then viewing the data available under FCM Capital Report (Updated Monthly), FCM Customer Segregated Funds Report (Updated Semi-Monthly), FCM Customer Secured Amount Funds Report (Updated Semi-Monthly), FCM Cleared Swaps Customer Collateral Report (Updated Semi-Monthly).

Additional financial information on all futures commission merchants is available from the Commodity Futures Trading Commission here.