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 LLC

IB LLC Consolidated Account Clearing AgreementNovember 6, 2013

IB LLC Customer AgreementMarch 10, 2015

IB LLC Fully Disclosed Clearing AgreementMarch 26, 2014

IB LLC Institutional Services Customer AgreementMarch 10, 2015

IB LLC IRA Customer AgreementMarch 10, 2015

IB LLC OATS Non-Reporting AgreementNovember 1, 2010

IB LLC OATS OSO Reporting AgreementFebruary 24, 2012

IB LLC Roth Customer AgreementDecember 31, 2014

Notice and Acknowledgement of Clearing ArrangementJune 3, 2015


IB LLC, IB UK

Agreement for Advisors Providing Services to Interactive Brokers Customers (LLC/UK)March 10, 2015

Discretionary Trading Authorization/Power Of Attorney For Financial Advisor/Request To Send Trade Confirmations and Account Statements To Advisor July 11, 2011

Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending ProgramJanuary 9, 2014


IB UK

IB UK Limited Customer AgreementMay 19, 2014

IB UK Limited Customer Agreement for SIPP Account HoldersAugust 31, 2009

IB UK Limited Fully-Disclosed SIPP Account Clearing Agreement April 17, 2013

Interactive Brokers (U.K.) Limited Client Agreement For Products Carried By IB U.K.April 17, 2013


IB Hong Kong Limited

Interactive Brokers Hong Kong Limited Client AgreementJune 3, 2015

 


IB Canada

Agreement for Non-Professional Advisors Providing Services to Interactive Brokers Canada CustomersFebruary 23, 2012

Agreement for Professional Advisors Providing Services to Interactive Brokers Canada CustomersJune 30, 2011

Appointment of Canadian Financial Advisor and Request to Send Trade Confirmations and Account Statements To AdvisorJuly 14, 2011

Appointment of Canadian Financial Advisor (Unregistered) and Request to Send Trade Confirmations and Account Statements to AdvisorJuly 14, 2011

IB Canada Customer AgreementMay 13, 2015


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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.

AMEX (NYSE) Professional Market Data (1)March 20, 2015

ASX Market Data Transmission AgreementJuly 5, 2007

Bolsa de Madrid Market Data Transmission AgreementFebruary 25, 2008

Bolsa Mexicana de Valores Market Data Transmission Agreement February 13, 2008

BTDS AgreementMay 27, 2005

CBOT AgreementMarch 5, 2004

CBOT Floor Market Data Subscriber AgreementJanuary 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) March 20, 2015

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.

After-Hours Trading Risk DisclosureJune 2, 2015

Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement ProgramApril 9, 2014

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 June 22, 2012

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

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

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

IBUK Disclosure under the Capital Requirements IV Directive April 15, 2015

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 December 2, 2014

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 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 February 5, 2015

Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) March 2, 2015

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 17, 2015

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 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 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 June 16, 2015

Notice Regarding USA PATRIOT Act Section 311 June 12, 2015

OCC Risk Disclosure November 3, 2014

Order Handling Policies & Procedures on Multiple Canadian Equities Marketplaces June 12, 2015

Order Routing & Payment for Orders Disclosure June 2, 2015

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 April 8, 2015

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

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

* 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.

IB LLC Agreements and Disclosures PackageFebruary 4, 2015

IB UK Agreements and Disclosures PackageFebruary 5, 2015


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Institutional Disclosure Packages

IB LLC Agreements and Disclosures PackageFebruary 5, 2015


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Initial Application Forms

W-8BENMay 12, 2006

W-8IMY December 17, 2014

W-9 December 18, 2013


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Yearly Reporting Forms

1042SMay 10, 2011

1099 July 15, 2011

NR4May 16, 2011

RL-3 (English Instructions)May 16, 2011

RL-3May 16, 2011

RL-15 (English Instructions)May 16, 2011

RL-15May 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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