Forms and Disclosures

Regulatory Notices and Risk Disclosures

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

After-Hours Trading Risk DisclosureJune 2, 2015

Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Canada Inc. Stock Yield Enhancement ProgramMarch 1, 2017

Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Hong Kong Ltd Stock Yield Enhancement ProgramFebruary 28, 2017

Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement ProgramFebruary 28, 2017

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 Consent of Electronic DeliveryMarch 5, 2004

Canadian Client Relationship Disclosure Information July 20, 2016

Canadian Investor Protection Fund Brochure August 9, 2016

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

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 Regarding IB's Business Continuity Plan May 9, 2013

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

Documents d'information du Québec sur les contrats à terme et les options - French March 5, 2004

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 August 26, 2009

French Risk Disclosures February 21, 2008

Hong Kong IB-HK Acknowledgements (for residents of Hong Kong) September 14, 2016

Hong Kong Risk Disclosure May 22, 2012

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 February 28, 2017

Interactive Brokers Group Cyber Security Notice March 24, 2016

Interactive Brokers Group Privacy Notice January 16, 2014

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 Australian 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 August 22, 2016

Interactive Brokers LLC Australian Product Disclosure Statement for Futures December 8, 2016

Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n) December 12, 2016

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 MiFID Professional Client Notification and Order Execution Policy Consent March 10, 2017

Interactive Brokers (U.K.) Limited MiFID Retail Client Notification and Order Execution Policy Consent March 10, 2017

Interactive Brokers (U.K.) Limited Order Execution Policy October 31, 2007

Interactive Brokers (U.K.) Limited Pillar 3 Disclosures May 4, 2016

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

Investment Industry Regulatory Organization of Canada Brochure August 9, 2016

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

Japanese Risk Disclosure February 24, 2011

Master Securities Lending Agreement for Interactive Brokers Hong Kong Limited Fully-Paid Lending Program February 10, 2016

MSRB Investor Brochure May 26, 2010

Municipal Risk Disclosure June 16, 2015

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 August 29, 2016

Notice Regarding USA PATRIOT Act Section 311 August 29, 2016

OCC Risk Disclosure February 10, 2017

Order Handling Policies & Procedures on Multiple Canadian Equities Marketplaces August 17, 2016

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

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 January 25, 2013

Risk Disclosure Regarding Leveraged and Inverse Funds August 5, 2010

Risk Disclosure Statement For Forex and Multi-Currency Accounts August 17, 2016

Risk Disclosure Statement for Trading CFDs and Foreign Currencies with Interactive Brokers (U.K.) Limited ("IB UK") January 12, 2015

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

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

Trading on ASX 24 Customer Agreement August 22, 2012

Trustee Certification July 7, 2015

* 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").