Forms and Disclosures

Customer Agreements

The following forms are samples of the documents presented in our Account Registration System and may not be submitted to Interactive Brokers.


IB Entity Agreement Date Updated
IB UK, IB LLC Agreement for Advisors Providing Services to Interactive Brokers Customers (LLC/UK) May 31, 2012
IB Canada Agreement for Non-Professional Advisors Providing Services to Interactive Brokers Canada Customers February 23, 2012
IB Canada Agreement for Professional Advisors Providing Services to Interactive Brokers Canada Customers June 30, 2011
IB Canada Appointment of Canadian Financial Advisor and Request to Send Trade Confirmations and Account Statements To Advisor July 14, 2011
IB Canada Appointment of Canadian Financial Advisor (Unregistered) and Request to Send Trade Confirmations and Account Statements to Advisor July 14, 2011
IB UK, IB LLC Discretionary Trading Authorization/Power Of Attorney For Financial Advisor/Request To Send Trade Confirmations and Account Statements To Advisor July 11, 2011
IB Canada IB Canada Customer Agreement February 7, 2013
IB LLC IB LLC Consolidated Account Clearing Agreement November 6, 2013
IB LLC IB LLC Customer Agreement November 6, 2013
IB LLC IB LLC Fully Disclosed Clearing Agreement March 26, 2014
IB LLC IB LLC Institutional Services Customer Agreement November 6, 2013
IB LLC IB LLC IRA Customer Agreement November 6, 2013
IB LLC IB LLC OATS Non-Reporting Agreement November 1, 2010
IB LLC IB LLC OATS OSO Reporting Agreement February 24, 2012
IB LLC IB LLC Roth Customer Agreement November 6, 2013
IB UK IB UK Limited Customer Agreement April 17, 2013
IB UK IB UK Limited Customer Agreement for SIPP Account Holders August 31, 2009
IB UK IB UK Limited Fully-Disclosed SIPP Account Clearing Agreement April 17, 2013
IB UK Interactive Brokers (U.K.) Limited Client Agreement For Products Carried By IB U.K. April 17, 2013
IB UK, IB LLC Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program January 9, 2014

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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
AMEX (NYSE) Professional Market Data (1) 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 (1) April 20, 2009
OPRA Professional March 5, 2004
Pink Sheets Subscriber Agreement April 28, 2006
  1. We recommend viewing this agreement in Adobe Acrobat Reader and not a native PDF viewer used by your web browser, as generally forms are not supported. Alternatively you may download the PDF onto your computer and make edits locally if you have Adobe Acrobat Reader installed on your computer.

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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
After-Hours Trading Risk Disclosure October 11, 2012
Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement Program April 9, 2014
Algorithmic Execution Venue Disclosure December 4, 2008
Arbitration Agreement (Futures) November 28, 2012
ASX CFDs Risk Disclosure May 16, 2011
ASX Explanatory Booklet: Understanding ASX CFDs April 20, 2011
ASX Explanatory Booklet: Understanding Options Trading January 25, 2013
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 Client Relationship Disclosure Information June 22, 2012
Canadian Shareholders Communication Instruction Form February 12, 2008
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 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 October 11, 2012
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
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 April 9, 2014
FINRA Investor Protection Information Resources January 7, 2013
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
Hong Kong Acknowledgements February 12, 2014
Hong Kong Client Money Standing Authority June 1, 2007
Hong Kong Client Standing Authority June 1, 2007
Hong Kong Regulatory Info* May 9, 2013
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 April 9, 2014
Important Information about Arbitration May 14, 2010
Interactive Brokers Group Privacy Notice January 16, 2014
Interactive Brokers LLC Australian Financial Services Guide February 12, 2014
Interactive Brokers LLC Australian Product Disclosure Statement for Exchange Traded Options February 12, 2014
Interactive Brokers LLC Australian Product Disclosure Statement for Foreign Exchange Contracts February 19, 2014
Interactive Brokers LLC Australian Product Disclosure Statement for Futures and ASX CFDs February 12, 2014
Interactive Brokers LLC General Disclosure on Mutual Funds May 22, 2012
Interactive Brokers Risk Disclosure for Bond Trading January 9, 2013
Interactive Brokers (U.K.) Limited - Remuneration Policy January 14, 2013
Interactive Brokers (U.K.) Limited MiFID Professional Client Notification and Order Execution Policy Consent April 17, 2013
Interactive Brokers (U.K.) Limited MiFID Retail Client Notification and Order Execution Policy Consent April 17, 2013
IRA Documents February 20, 2014
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 9, 2013
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 April 17, 2013
Notice Regarding NFA's BASIC System April 21, 2009
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges May 9, 2013
Notice Regarding USA PATRIOT Act Section 311 April 4, 2014
OCC Risk Disclosure April 1, 2010
Order Handling Policies & Procedures on Multiple Canadian Equities Marketplaces January 27, 2014
Order Routing & Payment for Order Flow Disclosure September 5, 2013
PAIB Agreement June 21, 2006
Portfolio Margin Disclosure October 11, 2012
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 April 9, 2014
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
Trading on ASX 24 Customer Agreement August 22, 2012

* 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
IB LLC Agreements and Disclosures Package January 9, 2014
IB UK Agreements and Disclosures Package March 26, 2014

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Institutional Disclosure Packages


Disclosure Date Updated
IB LLC Agreements and Disclosures Package January 9, 2014

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Initial Application Forms


Form Reviewed/Updated
W-8BEN May 12, 2006
W-8IMY May 12, 2006
W-9 December 18, 2013

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Yearly Reporting Forms


Form Date Updated
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

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