Forms and Disclosures
Interactive Brokers LLC
Australia Client Supplemental Custody Agreement
Direct Debit Supplement to Interactive Brokers LLC Customer Agreement
IB LLC Consolidated Account Clearing Agreement
IB LLC Fully Disclosed Clearing Agreement
IB LLC OATS Non-Reporting Agreement
IB LLC OATS OSO Reporting Agreement
Key Information Documents (KIDs)
MCB Banking Services Supplement to IB LLC Customer Agreement
Notice and Acknowledgement of Clearing Arrangement
Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program
Interactive Brokers (U.K.) Limited
Interactive Brokers (U.K.) Limited Customer Agreement
Interactive Brokers (U.K.) Limited Limited Customer Agreement for SIPP Account Holders
Interactive Brokers (U.K.) Limited Fully-Disclosed SIPP Account Clearing Agreement
Interactive Brokers (U.K.) Limited Client Agreement For Products Carried By IB U.K.
IB Hong Kong Limited
Interactive Brokers Hong Kong Client Agreement
Interactive Brokers Hong Kong Consolidated Account Clearing Agreement
Interactive Brokers Hong Kong Fully Disclosed Clearing Agreement
Interactive Brokers Hong Kong Institutional Services Agreement
Interactive Brokers Hong Kong Limited Master Agreement: Friends and Family Accounts
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
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
Futures on Virtual Currencies Including Bitcoin
Hong Kong IB-HK Acknowledgements (for residents of Hong Kong)
Hong Kong Bond Risk Disclosure Statement
How IIROC Protects Investors Brochure
IIROC Risk Disclosure Statement
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 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
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)
Notice Regarding NFA’s BASIC System
Notice Regarding Pre-Arranged Trading On U.S. Futures Exchanges
Notice Regarding USA PATRIOT Act Section 311
Canadian Order Handling Disclosure
Order Routing and Payment for Order Flow
Penny Stock Trading Risk 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 Regarding Leverage and Inverse Funds and Volatility-Linked Products
Risks of Trading Equity Options and Terms and Conditions for Trading Equity Options
Shortened (T+1) Settlement for Stock Purchases
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
Unclaimed property notice for British Columbia Residents
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.
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 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
Initial Application Forms
W-8BEN January 29, 2016
W-8BEN-E January 29, 2016
W-8IMY January 29, 2016
W-9 January 29, 2016
Yearly Reporting Forms
1042S 2017
1099 2017
NR4 2017
RL-3 (English Instructions) 2016
RL-3 2016
RL-15 (English Instructions) 2016
RL-15 2016
RL-16 (English Instructions) 2017
RL-16 May 16, 2011
RL-18 (English Instructions) 2015
RL-18 May 16, 2011
T3 2017
T5 2015
T5008 2016
T5013 2015
Customer Service Forms
Charitable Gift Transfer April 5, 2018
Corporate Resolution April 9, 2014
Customer Inquiries and Complaints March 5, 2004
Interactive Brokers Australia Pty Ltd Certified Copy Certificate – Identification for Individuals June 1, 2017
Interactive Brokers Canada Inc. Limited Power of Attorney – Trading Authorization (Individual Accounts) July 19, 2011
Interactive Brokers Canada Inc. Limited Power of Attorney – Trading Authorization (Organizational Accounts) July 19, 2011
IRA Beneficiary Change Form January 23, 2017
IRA Qualified Charitable Distribution January 23, 2017
IRA Rollover Certification January 23, 2017
IRA Rollover FormNovember 21, 2018
IRA Transfer In Authorization Form November 21, 2018
Partnership Resolution October 20, 2008
Secure Login Device Return Form August 19, 2016
Special Position Liquidation Agreement April 12, 2017
Summary- IB UK Complaints Handling October 22, 2009
Transfer on Death – Beneficiary Distribution Form April 17, 2013
Transferring Positions in Europe October 7, 2015
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