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Forms and Disclosures

Agreements
Disclosures
Tax
Customer Service
ID Requirements
Canada

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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	March 5, 2004
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

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	March 7, 2008
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 Procedures for Allocating Equity Option Exercise Notices	May 31, 2007
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	January 24, 2008
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 23, 2007
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 23, 2007
Interactive Brokers LLC Product Disclosure Statement For Australian Stock Exchange Limited Contracts For Difference	August 3, 2009
Interactive Brokers Risk Disclosure for Bond Trading	April 22, 2008
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	January 5, 2009
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
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	August 27, 2009
Order Routing & Payment for Order Flow Disclosure	April 23, 2009
PAIB Agreement	June 21, 2006
Portfolio Margin Disclosure	May 5, 2009
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 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").

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

Customer Service Forms

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Form	Date Posted	Format
Corporate Resolution	October 20, 2008
Customer Inquiries and Complaints	March 5, 2004
Partnership Resolution	October 20, 2008
Secure Login System Opt-Out	November 9, 2009
Special Position Liquidation Agreement	October 30, 2006
Summary- IB UK Complaints Handling	October 22, 2009
Transfer on Death Agreement	May 19, 2009
Transfer on Death – Beneficiary Distribution Form	May 19, 2009
Transferring Positions in Asia	January 23, 2008
Transferring Positions in Europe	August 26, 2009
Transferring Positions in India	September 11, 2009

Identification Requirements for IB LLC, IB UK and IB Canada

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
Institution 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
Institution Accounts
Corporate Accounts - Quoted Company	August 9, 2006
Corporate Accounts - EU Credit or Financial Institution	August 9, 2006
Corporate Accounts - Non-EU Credit or Financial Institution	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
Institution Accounts
Canadian Institutions	June 12, 2008

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

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.

Adobe Reader 5.0 or later is required

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
Tokyo Stock Exchange Market Data Transmission Agreement	August 28, 2007
Uniform Subscriber Addendum for US Futures Exchanges	April 12, 2007

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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later is required

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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