各種フォーム・ディスクロージャー

口座開設に関する各種フォーム、顧客カード及びディスクロージャー
 
Form
日本語
English
 
Format
Date Updated
Format
Date Updated
保護預り約款
Agreement Concerning Safe Custody
January 30, 2012 January 30, 2012
株式等振替決済口座管理約款
Agreement Concerning Securities Settlement Account Management
January 30, 2012 January 30, 2012
先物・オプション取引口座設定約諾書
Agreement for Setting up Futures/Options Trading Account
July 2, 2013 July 2, 2013
契約締結前交付書面集(平成25年7月16日改定)
Consolidated Risk Disclosure
July 2, 2013 July 2, 2013
差換預託に関する同意書
Consent on Replacement Deposit and Confirmation Related to Listed Futures and Options
July 2, 2013 July 2, 2013
個人情報保護宣言
Declaration of Protecting Personal Information
June 13, 2011 November 23, 2010
金融商品販売法に係る重要事項の説明
Disclosure regarding sales of financial products
April 16, 2014 April 16, 2014
金銭・有価証券の預託、記帳及び振替に関する契約のご説明
Explanation as to contract for deposit
January 30, 2012 January 30, 2012
反社会的勢力に対する基本方針
IBSJ Basic Policy against Anti-Social Forces
June 13, 2010 November 23, 2010
最良執行方針
IBSJ Best Execution Policy
February 2013 January 30, 2012
書面の電子交付等に関する承諾書
IBSJ Consent to Receiving Electronic Communication
January 30, 2012 January 30, 2012
国内上場有価証券等書面
IBSJ Risk Disclosure for Exchange Listed Securities
January 30, 2012 January 30, 2012
手数料などの諸費用について
IBSJ Risk Disclosures for Fees
April 16, 2014 April 16, 2014
国債先物・先物オプション取引の契約締結前交付書面
IBSJ Risk Disclosure for Japan Government Bond Futures / Futures Options
March 24, 2014 March 24, 2014
July 2, 2013 July 2, 2013
有価証券オプション取引の契約前交付書面
IBSJ Risk Disclosure for TSE Single Stock Options
March 24, 2014 March 24, 2014
July 2, 2013 July 2, 2013
インタラクティブ・ブローカーズ証券 カスタマー・アグリーメント
Interactive Brokers Securities Japan, Inc Customer Agreement
October 27, 2010 October 27, 2010
指数先物・オプション取引の契約締結前交付書面
Risk Disclosures for Index Futures/Options Transactions
March 24, 2014 March 24, 2014
July 2, 2013 July 2, 2013

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=jp

個人口座のご提出書類
  Date Updated Format
IBSJ(日本法人)個人口座 November 8, 2012
日本語
IBSJ Individual Account December 30, 2011
English

法人口座のご提出書類
  Date Updated Format
IBSJ(日本法人)法人口座 November 8, 2012
日本語
IBSJ Proprietary Trading Group Account December 30, 2011
English

http://www.interactivebrokers.com/en/p.php?f=legalDocsJP&p=jp1

Customer 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 Format
Agreement for Advisors Providing Services to Interactive Brokers Customers (LLC/UK) May 31, 2012
Agreement for Non-Professional Advisors Providing Services to Interactive Brokers Canada Customers February 23, 2012
Agreement for Professional Advisors Providing Services to Interactive Brokers Canada Customers June 30, 2011
Appointment of Canadian Financial Advisor and Request to Send Trade Confirmations and Account Statements To Advisor July 14, 2011
Appointment of Canadian Financial Advisor (Unregistered) and Request to Send Trade Confirmations and Account Statements to Advisor July 14, 2011
Discretionary Trading Authorization/Power Of Attorney For Financial Advisor/Request To Send Trade Confirmations and Account Statements To Advisor July 11, 2011
IB Canada Customer Agreement August 10, 2012
IB LLC Consolidated Account Clearing Agreement May 31, 2012
IB LLC Customer Agreement May 31, 2012
IB LLC Fully Disclosed Clearing Agreement May 31, 2012
IB LLC Institutional Services Customer Agreement May 31, 2012
IB LLC IRA Customer Agreement May 31, 2012
IB LLC OATS Non-Reporting Agreement November 1, 2010
IB LLC OATS OSO Reporting Agreement February 24, 2012
IB LLC Proprietary Accounts of Introducing Brokers (PAIB) Agreement July 25, 2011
IB LLC Roth Customer Agreement May 31, 2012
IB UK Limited Customer Agreement September 9, 2005
IB UK Limited Customer Agreement for SIPP Account Holders August 31, 2009
IB UK Limited Fully-Disclosed SIPP Account Clearing Agreement August 31, 2009
Interactive Brokers (U.K.) Limited Client Agreement For Trading OTC Products Including CFDs, Precious Metals and Forex July 25, 2012
Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program April 19, 2011


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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.




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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 Format
After-Hours Trading Risk Disclosure January 16, 2008
Agreement and Limited Power Of Attorney For Participation in Interactive Brokers Stock Yield Enhancement Program June 23, 2011
Algorithmic Execution Venue Disclosure December 4, 2008
Arbitration Agreement (Futures) October 14, 2008
ASX CFDs Risk Disclosure May 16, 2011
ASX Explanatory Booklet: Understanding ASX CFDs April 20, 2011
ASX Explanatory Booklet: Understanding Options Trading April 1, 2011
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 Shareholders Communication Instruction Form February 12, 2008
Canadian Stock Order Routing Disclosure April 5, 2012
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 Disclosures April 15, 2008
Customer Consent to Receive Mutual Fund Information Electronically June 8, 2010
Day Trading Risk Disclosure Statement May 5, 2009
Description of Interactive Brokers Customer Information Policies and Procedures August 27, 2009
Disclosure of Cash and Margin Account Trading Requirements,
and Automatic Liquidation
March 5, 2004
Disclosure of Risks of Margin Trading May 5, 2009
Disclosure Regarding IB's Business Continuity Plan April 23, 2009
Disclosure Regarding IB's Fully-Paid Securities Lending Program May 22, 2012
Disclosure Regarding IB's Procedures for Allocating Equity Option Exercise Notices May 31, 2007
Distressed Bonds June 17, 2010
Documents d'information du Québec sur les contrats à terme et les options - French March 5, 2004
Electronic Trading And Order Routing Systems Risk Disclosure Statement February 28, 2006
Euronext LIFFE Risk Disclosure April 15, 2008
FINRA Investor Protection Information Resources January 16, 2008
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
HKMEX Disclosure Statement April 12, 2012
Hong Kong Acknowledgements August 2, 2006
Hong Kong Client Money Standing Authority June 1, 2007
Hong Kong Client Standing Authority June 1, 2007
Hong Kong Regulatory Info* April 15, 2008
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 May 22, 2012
Important Information about Arbitration May 14, 2010
Important Information About Equity, Options and Futures Exchange Rules May 22, 2012
Important Information About Interactive Brokers Penny Option Pricing System April 23, 2009
Interactive Brokers Group Privacy Statement May 15, 2009
Interactive Brokers LLC Financial Services Guide August 30, 2010
Interactive Brokers LLC General Disclosure on Mutual Funds May 22, 2012
Interactive Brokers LLC Product Disclosure Statement For Australian Stock Exchange Limited Contracts For Difference August 3, 2009
Interactive Brokers LLC Product Disclosure Statement for Futures and Futures Options Traded on the Sydney Futures Exchange August 30, 2010
Interactive Brokers LLC Product Disclosure Statement for Options Traded on the Australian Stock Exchange Limited August 23, 2007
Interactive Brokers Risk Disclosure for Bond Trading May 22, 2012
Interactive Brokers (U.K.) Limited - Remuneration Policy December 21, 2011
Interactive Brokers UK MiFID Professional Client Notification & Consent Letter October 31, 2007
Interactive Brokers UK MiFID Retail Client Notification & Consent Letter October 31, 2007
IRA Documents December 8, 2011
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 26, 2010
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
March 5, 2004
Notice Regarding NFA's BASIC System April 21, 2009
Notice Regarding Phishing Scams June 10, 2009
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges May 24, 2011
Notice Regarding Prohibitions Involving Banco Delta Asia, Commercial Bank of Syria, VEF Bank and their Subsidiaries April 29, 2008
OCC Risk Disclosure April 1, 2010
Order Routing & Payment for Order Flow Disclosure May 22, 2012
PAIB Agreement June 21, 2006
Portfolio Margin Disclosure May 24, 2011
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
April 15, 2008
Risk Disclosure Regarding Leveraged and Inverse Funds August 5, 2010
Risk Disclosure Statement For Forex and Multi-Currency Accounts July 26, 2012
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
Sydney Futures Exchange Agreement April 15, 2008
Form
日本語
English
 
Format
更新日時
Format
Date Updated
IBSJ Risk Disclosures for Commodities Futures for Corporate Customer January 30, 2012 January 30, 2012
IBSJ Risk Disclosure for Foreign Bond Futures / Futures Options on IBLLC account January 30, 2012 January 30, 2012
IBSJ Risk Disclosure for Foreign Bond on IBLLC account January 30, 2012 January 30, 2012
IBSJ Risk Disclosure for Foreign Exchange Listed Securities January 30, 2012 January 30, 2012
IBSJ Risk Disclosure for Foreign Listed Derivatives on IBLLC account January 30, 2012 January 30, 2012
IBSJ Risk Disclosure for Foreign Listed Warrants on IBLLC account January 30, 2012 January 30, 2012


Note:

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 Format
IB LLC Agreements and Disclosures Package July 26, 2012


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Institutional Disclosure Packages


Disclosure Date Updated Format
IB LLC Agreements and Disclosures Package July 26, 2012


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Initial Application Forms


Form Reviewed/Updated Format
W-8BEN May 12, 2006
W-8IMY May 12, 2006


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Yearly Reporting Forms


Form Date Updated Format
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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