ACCESS KID DOCUMENTS

The Packaged Retail and Insurance-based Investment Products Regulation - EU No 1286/2014 (“PRIIPs Regulation” or “PRIIPs”) became applicable on 1 January 2018…

Overview

• The Packaged Retail and Insurance-based Investment Products ("PRIIP") Regulation became applicable on 1 January 2018 (the "Regulation").
• PRIIPs products include ETFs, options, futures, Contract for Difference (CFDs), and structured products…

A LEI can be obtained by contacting an authorized LEI issuer, also referred to as a Local Operating Unit (LOU). Note that LEI applicants can use the services of any accredited LOU and are not limited to using an LEI issuer in their own country…

Client Categorisation FAQs

Overview

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Opening orders from Retail investors residing in the European Economic Area (EEA) and the United Kingdom that are associated with a product that does not comply with the EU's Packaged Retail and Insurance-based Investment Product Regulation (PRIIPS) will be…

Upon the death of an IBKR account holder, surviving family, heirs, beneficiaries or executors should notify IBKR Client Services via email to:

• estateprocessing@interactivebrokers.com (for US and European accounts)…

COMPLETE MiFIR REPORTING INFORMATION

The MiFIR Information form requires that you enter an ID based on your Primary Citizenship and not based on your Country of residency (e.g. an Italian or Spanish citizen living in Argentina needs to enter the required Italian or Spanish ID)…

The "account mifid2 short code is missing" error occurs when trying to trade products in the European Economic Area (EEA) without having the required MiFID II (Markets in Financial Instruments Directive II) information set up in your account. This error is related to regulatory reporting obligations for EEA-traded products, which require a unique identifier for the individual or algorithm responsible for making investment decisions…

From the Interactive Brokers website please scroll down to bottom of the page and click on the line which reads, "forms and disclosures." Within that section you can see all customer agreements, disclosures and other relevant forms…

Overview

• As a result of U.S. Internal Revenue Regulations taking effect 1 January 2023, new withholding charges will be applied to sales proceeds from certain Publicly Traded Partnerships ("PTPs”) held by investors who are not U.S. taxpayers. The IRS withholding charges are substantial, therefore, we have taken steps to limit access to these products for investors who might be unaware of the risks of investing in these PTP products…

The European Union legislative act known as the Markets in Financial Instruments Directive, or MiFID, as amended by MiFID II, requires Interactive Brokers (U.K.) Limited (IBUK) to classify each Client according to their knowledge, experience and expertise: "Retail", "Professional" or "Eligible Counterparty"…

UPDATE PROFILE AND REGULATORY INFORMATION

To stop IBKR from sending duplicate statements to your former employer or requiring pre-trade clearance:…

Effective November 10, 2010, an amendment to SEC Reg. SHO went into effect which placed certain restrictions on short selling when a given stock is experiencing significant downward price pressure. This amendment, referred to as the alternative uptick rule (Rule 201) introduced a circuit breaker which takes effect wherever the primary listing market declares that a stock has declined 10% or more from the prior day’s closing price. …

Introduction

Australian resident clients maintaining an account with Interactive Brokers Australia Pty Ltd (IB Australia), which holds an Australian Financial Services License, number 453554, are initially classified as a retail investor, unless they satisfy one or more of the requirements to be classified as a wholesale or professional investor according to the relevant provisions of the Corporations Act 2001. This article outlines how this process is handled by IB Australia…

PROVIDE LEI INFORMATION

In certain instances, brokers are required by regulation to report information regarding a client and include in that information a client identifier. For entities such as trusts and organizations, that…