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 Disclosure

Arbitration Agreement (Futures)

ASX Explanatory Booklet: Understanding Options Trading

Certification Regarding Correspondent Accounts for Foreign Banks

CFTC Risk Disclosure Statement – Appendix A to Rule 1.55

CFTC Risk Disclosure Statement – Rule 1.55(b)

CFTC Rule 15.05 Notice to Non-U.S. Traders

China Connect Consent Agreement

Customer Consent to Receive Mutual Fund Information Electronically 

Day Trading Risk Disclosure Statement

Disclosure Concerning Auto Trading Service Providers

Disclosure of Risks of Margin Trading

Disclosure of Risks of Trading Bitcoin Futures And Options

Disclosure Regarding IB’s Business Continuity Plan

Disclosure Regarding IB’s Procedures for Allocating Equity Option Exercise Notices

Disclosure Regarding Interactive Brokers Pre-Borrow Program

Disclosure Regarding Trading of Certificates of Deposit

Discretionary Trading Authorization for clients of Independent Financial Advisors under a 3-Tier Structure

Discretionary Trading Authorization for clients of Independent Financial Advisors

Distressed Bonds

EMIR Notice

EMIR Overview

Euronext LIFFE Risk Disclosure

Financial Services Guide Interactive Brokers (U.K.) Limited

FINRA Investor Protection Information Resources

FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts

French Risk Disclosures

Futures on Virtual Currencies Including Bitcoin

Hong Kong IB-HK Acknowledgements (for residents of Hong Kong)

Hong Kong Risk Disclosure

Hong Kong Bond Risk Disclosure Statement

How IIROC Protects Investors Brochure

IBKR Disclosure Pursuant to FINRA Rule 5350 Regarding Stop and Stop-Limit Orders in U.S. Listed Stocks and Warrants

IIROC Risk Disclosure Statement

Important Characteristics and Risks of Participating in Interactive Brokers Canada Fully-Paid Securities Lending Programs

Important Characteristics and Risks of Participating in Interactive Brokers Fully-Paid Securities Lending Programs

Important Characteristics and Risks of Participating in Interactive Brokers Hong Kong Limited Fully-Paid Securities Lending Program

Interactive Brokers Group Cyber Security Notice

Interactive Brokers Group Privacy Policy

Interactive Brokers Group – Australia Best Execution Policy

Interactive Brokers Hong Kong Limited Client Money Standing Authority

Interactive Brokers Hong Kong Limited Client Securities Standing Authority

Interactive Brokers Hong Kong Ltd.Disclosure of Risks of Algorithmic Trading

Interactive Brokers Hong Kong Limited Disclosure of Risks Of Margin Trading

Interactive Brokers LLC Australian Product Disclosure Statement for Futures

Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n)

Interactive Brokers LLC General Disclosure on Mutual Funds

Interactive Brokers Risk Disclosure for Bond Trading

Interactive Brokers (U.K) Limited – Modern Slavery Statement

Interactive Brokers (U.K.) Limited Professional Client Notification – Per Se Professional

Interactive Brokers (U.K.) Limited Professional Client Notification – Elective professional

Interactive Brokers (U.K.) Limited Order Execution Policy

Interactive Brokers (U.K.) Limited Pillar 3 Disclosures

Interactive Brokers (U.K.) Limited Remuneration Policy

Interactive Brokers (U.K) Limited Summary of the Conflicts of Interest Policy

ISE Disclosure for Option Orders Over 500 Contracts

Japanese Risk Disclosure

Making a Complaint – A Guide for Investors Brochure (Part 1 of 2)

How Can I Get My Money Back-A Guide for Investors Brochure (Part 2 of 2)

MSRB Investor Brochure

Municipal Risk Disclosure

Notice of Execution and Clearing Agreement and Description of Contractual Relationship Between Interactive Brokers (U.K.) Limited and IBKR LLC

Notice Regarding NFA’s BASIC System

Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges

Notice Regarding USA PATRIOT Act Section 311

OCC Risk Disclosure

Canadian Order Handling Disclosure

Order Routing and Payment for Order Flow

Penny Stock Trading Risk Disclosure

Portfolio Margin Disclosure

Pricing Disclosure under the European Market Infrastructure Regulation (“EMIR”)

Recertification Regarding Corresponding Accounts for Foreign Banks

Risk Disclosure and Supplemental Agreement for Security Futures Trading at Interactive Brokers

Risk Disclosure Regarding Leverage and Inverse Funds and Volatility-Linked Products

Risk Disclosure Statement For Forex and Multi-Currency Accounts

Risk Disclosure Statement for Trading CFDs and Foreign Currencies with Interactive Brokers (U.K.) for Professional Clients

Risk Disclosure Statement for Trading CFDs and Foreign Currencies with Interactive Brokers (U.K.) for Retail Clients

Risk Disclosure Regarding Leverage and Inverse Funds and Volatility-Linked Products

Risk Disclosure Statement for Trading OTC Precious Metals with Interactive Brokers (U.K.) Limited (“IB UK”)

Risk Disclosure To Singapore-Based Customers Regarding Futures Contracts Or Leveraged Foreign Exchange Contracts Cleared At CME

Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options

Shortened (T+1) Settlement for Stock Purchases

Singapore Risk Disclosure

Spousal Consent Form

Strip Bond Disclosure (English)

Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited

Swiss Bankers Association Special Risks in Securities Trading

Trading on ASX 24 Customer Agreement

Trustee Certification

Unclaimed property notice for British Columbia Residents

Understand the Risks of Virtual Currency Trading

UK Tax Strategy

MiFID II Disclosures

This page provides useful information and regulatory disclosures regarding the EU Markets in Financial Instruments Directive

This page provides useful information and regulatory disclosures regarding the EU Markets in Financial Instruments Directive (“MiFID II”).

MiFID II lays down product governance requirements that apply to manufacturers and distributors of financial instruments. IBKR entities subject to MiFID requirements (“IBKR”) have established a Product Governance framework defining the steps that IBKR takes for products that IBKR manufactures and for products that IBKR distributes.

IBKR as Product Manufacturer

IBKR manufactures Contracts For Difference and Over the Counter Metal Futures (“OTC Products”). The generic target market assessment for the OTC Products together with an indication of the appropriate channels for their distribution can be reviewed by consulting the corresponding Target Market Table below. Further information on the OTC Products can be viewed in the Product Listings section of the IB website. Distributors should make their own determination in relation to specific target market for the OTC Products.

Target Market and Distribution Strategy Table for Over the Counter Metal Futures

Target Market Table for Contracts For Difference

Policies and Disclosures

Interactive Brokers (U.K.) Limited Order Execution Policy

Interactive Brokers (U.K) Limited Summary of the Conflicts of Interest Policy

Best Execution: Top 5 Execution Summary

2017 Top 5 Venue and Execution Summary

2018 Top 5 Venue and Execution Summary

Costs and Charges Disclosure

Costs and Charges Disclosure

Costs and Charges Illustrations

Client Categorisation

Professional Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited

Retail Client Notification for Direct Carried-Clients of Interactive Brokers (U.K.) Limited

Transaction Reporting

Overview of MiFIR Transaction Reporting

MiFIR Enriched and Delegated Transaction Reporting for EEA Investment Firm

MiFIR Information Required from Account Holders that do not have Reporting Obligations

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 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

GFIS Subscriber Agreement   February 11, 2020

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

TSE Professional Subscriber Agreement   January 22, 2013