Forms and Disclosures


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
Entity
Date Posted
Format
Customer Agreement LLC April 8, 2009
Customer Agreement UK September 9, 2005
Customer Agreement Canada October 22, 2009
IRA Customer Agreement LLC February 11, 2008
Roth Customer Agreement LLC February 11, 2008
Financial Advisor Agreement LLC/UK July 27, 2010
Advisor Client Agreement LLC December 11, 2009
Canadian Professional Advisor Agreement Canada May 3, 2005
Canadian Non-Professional Financial Advisor Agreement Canada June 9, 2005
Institutional Services Customer Agreement LLC April 8, 2009
Interactive Brokers Fully Disclosed Clearing Agreement LLC April 28, 2008
Interactive Brokers Consolidated Account Clearing Agreement LLC September 9, 2008
Interactive Brokers (U.K.) Limited Fully-Disclosed SIPP Account Clearing Agreement UK August 31, 2009
Interactive Brokers (U.K.) Limited Customer Agreement for SIPP Account Holders
 UK August 31, 2009
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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Agreement Date Posted Format
ASX Market Data Transmission Agreement July 5, 2007
AMEX (NYSE) Professional Market Data April 20, 2009
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
CFE Market Data Agreement March 24, 2004
CBOT Agreement March 5, 2004
CEG Non-professional Market Data Agreement March 5, 2004
CEG Professional Market Data Agreement April 8, 2004
CNQ Market Data Transmission Agreement September 17, 2007
Dow Jones Indices Terms and Conditions April 29, 2009
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 April 20, 2009
On-Line Nasdaq Subscriber Agreement March 5, 2004
OPRA Professional March 5, 2004
Pink Sheets Subscriber Agreement April 28, 2006
Uniform Subscriber Addendum for US Futures Exchanges April 12, 2007
Regulatory Notices and Risk Disclosures

Please review the following disclosures carefully, as they contain important information regarding your Interactive Brokers account.

Disclosure Date Posted Format
After-Hours Trading Risk Disclosure January 16, 2008
Algorithmic Execution Venue Disclosure December 4, 2008
Arbitration Agreement (Futures) October 14, 2008
ASX Explanatory Booklet: Understanding Options Trading October 23, 2009
ASX Explanatory Booklet: Understanding ASX CFDs April 1, 2009
ASX CFDs Risk Disclosure October 14, 2008
Canadian Client Consent of Electronic Delivery March 5, 2004
Canadian Shareholders Communication Instruction Form February 12, 2008
Canadian Stock Order Routing Disclosure April 24, 2009
Certification Regarding Corresponding Accounts for Foreign Banks April 24, 2009
CBOE Regulatory Circulars Regarding Option Trading and Use of RAES March 5, 2004
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
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 August 5, 2010
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
Euronext LIFFE Risk Disclosure April 15, 2008
Electronic Trading And Order Routing Systems Risk Disclosure Statement February 28, 2006
Floor/Pit-Based Exchanges Risk Disclosure April 15, 2008
French Risk Disclosures February 21, 2008
FINRA Investor Protection Information Resources January 16, 2008
FINRA/NFA Standardized Risk Disclosure Statement for Security Futures Contracts August 26, 2009
General Risk Disclosure Statement for Futures and Options March 5, 2004
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 Risk Disclosure April 15, 2008
Hong Kong Regulatory Info* April 15, 2008
IIROC Arbitration Agreement April 23, 2009
IIROC Risk Disclosure Statement April 23, 2009
Important Information about Arbitration May 14, 2010
Important Information About Interactive Brokers Penny Option Pricing System April 23, 2009
Important Information About Equity, Options and Futures Exchange Rules April 23, 2009
Description of Interactive Brokers Customer Information Policies and Procedures August 27, 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 March 7, 2008
Interactive Brokers LLC Product Disclosure Statement for Options Traded on the Australian Stock Exchange Limited August 23, 2007
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 Australian Stock Exchange Limited Contracts For Difference August 3, 2009
Interactive Brokers Risk Disclosure for Bond Trading December 10, 2009
Interactive Brokers UK MiFID Retail Client Notification & Consent Letter October 31, 2007
Interactive Brokers UK MiFID Professional Client Notification & Consent Letter October 31, 2007
Interactive Brokers Order Execution Policy October 31, 2007
IRA Documents December 24, 2008
ISE Disclosure for Option Orders Over 500 Contracts October 5, 2007
Japanese Risk Disclosure May 14, 2010
kaChing Customer Discretionary Trading Authorization and Agreement October 19, 2009
Notice of Execution and Clearing Agreement and Description
of Contractual Relationship Between IB UK and IB LLC		 March 5, 2004
Maine Risk Disclosure March 5, 2004
Master Securities Lending Agreement for Interactive Brokers LLC Fully-Paid Lending Program August 5, 2010
Municipal Risk Disclosure May 26, 2010
MSRB Investor Brochure May 26, 2010
Notice of Clearing Arrangement for IB Canada Customers February 9, 2010
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 April 23, 2009
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 April 23, 2009
PAIB Agreement June 21, 2006
Portfolio Margin Disclosure February 19, 2010
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 October 4, 2005
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 21, 2008
Sydney Futures Exchange Agreement April 15, 2008
*Notice: 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.


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Disclosure Date Posted Format
IB LLC Agreements and Disclosures Package February 25, 2008
IB Canada Agreements and Disclosures Package November 11, 2004
IB UK Agreements and Disclosures Package November 11, 2004
Institutional Disclosure Packages

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later is required
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Disclosure Date Posted Format
IB LLC Agreements and Disclosures Package January 16, 2008
Initial Application Forms

Form Date Posted Format
W-8BEN May 12, 2006
W-8IMY May 12, 2006
W-8ECI May 12, 2006
W-8EXP May 12, 2006
W-9 September 30, 2008
Yearly Reporting Forms

Form Date Posted Format
1099 January 31, 2007
1042S March 5, 2004
T5 March 5, 2004
T5008 March 5, 2004
Customer Service Forms

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Identification Requirements for IB LLC, IB UK, IB Canada and IB (India) Pvt. Ltd.

Click here for instructions for submitting documents.

Identification Requirements for IB LLC Accounts Date Posted
Format
Individual Accounts
US Residents April 3, 2009
Non-US Residents February 5, 2009
Residents of China February 5, 2009
Documentation Required for Trust Applicants February 5, 2009
Advisor Accounts
US Residents February 5, 2009
Non-US Residents February 5, 2009
Organization Advisors February 5, 2009
Advisor Clients February 5, 2009
Proprietary Trading Group Accounts
Corporations, Partnership or Limited Liability Companies February 5, 2009
Unincorporated Businesses February 23, 2009
Broker Accounts
Brokers February 5, 2009
Futures Brokers February 5, 2009


Identification Requirements for IB UK Accounts(1) Date Posted
Format
Individual Accounts
UK Residents August 9, 2006
Residents of All Other Countries August 9, 2006
Joint Accounts
Residents of All Countries August 9, 2006
Financial Advisor Accounts
Financial Advisor August 9, 2006
Proprietary Trading Group Accounts
Corporate Accounts - Quoted Company August 9, 2006
Corporate Accounts - EU Credit or Financial Proprietary Trading Group August 9, 2006
Corporate Accounts - Non-EU Credit or Financial Proprietary Trading Group August 9, 2006
Corporate Accounts - Private Company August 9, 2006
Partnership/Unincorporated Business Account August 9, 2006
SIPP Accounts
Additional Identification Information and Documentation: SIPP Administrator (master account) August 31, 2009
Additional Identification Information and Documentation: SIPP client August 31, 2009

(1) Please do not send original documents.

Identification Requirements for IB Canada Accounts Date Posted
Format
Individual Accounts
Canadian Individuals June 12, 2008
Advisor Accounts
Canadian Advisors April 2, 2004
Proprietary Trading Group Accounts
Canadian Proprietary Trading Groups June 12, 2008


Identification Requirements for IB IB (India) Pvt. Ltd. Date Posted
Format
Individual Accounts
Indian Individuals March 30, 2010
NRIs March 30, 2010  
Proprietary Trading Group Accounts
Indian Proprietary Trading Groups March 30, 2010

 

Canada Mailed Forms
Disclosure or Agreement Date Posted Format
Canadian Client Consent of Electronic Delivery March 5, 2004
Canadian Shareholders Communication Instruction Form February 12, 2008
Customer Agreement October 22, 2009
Please print, sign and mail the above forms to the address below:

Interactive Brokers Canada
Document Processing Department
1800 McGill College Avenue, Suite 2106,
Montreal, Quebec, H3A 3J6,
Canada
IB (India) Pvt. Ltd. Customer Agreements and Disclosures

The following forms are samples of the documents presented in our Account Registration System and may not be submitted to Interactive Brokers.

Agreement
Entity
Date Posted
Format
IB India Client Agreement IB (India) Pvt. Ltd. March 30, 2010
IB India Risk Disclosure IB (India) Pvt. Ltd. March 30, 2010
NRI CP Code Application IB (India) Pvt. Ltd. February 17, 2010
NSDL Account Opening Form IB (India) Pvt. Ltd. March 30, 2010
NSDL Client Agreement IB (India) Pvt. Ltd. March 30, 2010
NSDL Power of Attorney IB (India) Pvt. Ltd. March 30, 2010
NSDL Terms and Conditions for Transaction Statement through the Internet IB (India) Pvt. Ltd. March 30, 2010
NSE Client Registration - Individuals IB (India) Pvt. Ltd. March 30, 2010
NSE Client Registration - Proprietary Trading Groups IB (India) Pvt. Ltd. March 30, 2010
Stamp Paper IB (India) Pvt. Ltd. February 17, 2010