What are the CFTC Reportable Position Levels?

Clients holding short stock positions are at risk of having these positions bought-in and closed out by IBKR, oftentimes with little or no advance notice. This is a risk which is inherent to short selling and generally outside the control of the client. It is also subject to regulatory rules which dictate the timeframes by which brokers must act…

SEND TICKET TO CLIENT SERVICES Please contact Client Services to request a change of ownership on an account. Select Application Assistance as the ticket category followed by Document Request…

The Commodities Futures Trading Commission (CFTC) has historically maintained rules which require FCMs to report information relating to clients holding positions equal to or exceeding defined thresholds (e.g., Large Trader Reporting). In November 2013, the CFTC adopted a new rule which expands the prior reporting rules and which requires the collection and reporting of more comprehensive information on owners and controllers of accounts trading U.S. commodity futures products. This new rule is referred to as Ownership and Control Reporting (OCR) and outlined below are a series of FAQs relating to this rule…

For accounts contracted by the triparty agreement and carried by IBLLC in the US the account is authorized to trade both securities products and commodities/futures products and therefore consists of two underlying accounts or account segments: a securities account ("IBKR securities") governed by rules of the U.S. Securities and Exchange Commission (SEC) and a futures account ("IBKR futures") governed by rules of the U.S. Commodity Futures Trading Commission (CFTC)…