Agreements and Disclosures

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Type Form Agreement IBLLC-US IB-CAN IB-UK IB-IE IB-EU IB-CE IB-AU IB-HK IB-JP
General 4538 Certification Regarding Trading Control and Ownership of the Account         Y Y      
Customer Agreement 3203 Customer Agreement Y           Y    
Customer Agreement 3205 Customer Agreement               Y  
General 3089 Global Financial Information Services Subscriber Agreement Y Y Y Y Y Y Y Y  
General 4016 After-hours Trading Risk Disclosure  Y Y Y       Y Y  
General 6108 Agreement Limiting Interactive Brokers Liability Y   Y       Y Y  
3T Clients 4208 Authorization to create a 3 Tier Account under a Financial Advisor and an Introducing Broker Y Y Y Y     Y Y Y
General 3070 Business Continuity Plan Disclosure  Y   Y       Y Y  
Margin 1007 CANADA Margin Trading Risk Disclosure   Y              
Customer Agreement 3206 Canadian Client Account Agreement   Y              
General 4190 Canadian Investor Protection Fund Brochure   Y              
General 4286 Canadian Pro FA Client Relationship Disclosure Information   Y              
Margin - Cash- No additional forms are needed if the Account Type is set to Cash Y Y Y Y     Y Y Y
General 5013 Certification Regarding Trading Control and  Ownership of the Account Y Y Y Y   Y Y Y  
Advisor-Clients 6110 Client FA Agreement CANADA Registered   Y              
Advisor-Clients 6112 Client Financial Advisor Agreement Y   Y       Y Y  
General 7002 Consent to Electronic Delivery   Y              
Customer Agreement 3207 Customer Agreement UK     Y            
General 3071 Day Trading Risk Disclosure Y   Y       Y Y  
General 3024 Forex and Multi-Currency Risk Disclosure  Y Y Y       Y Y  
General 4191 Guide to Investors Brochure (part 1 of 2)   Y              
General 4192 Guide to Investors Brochure (part 2 of 2)   Y              
Margin 4041 Hong Kong Risk Disclsoure               Y  
General 3320 How IIROC Protects Investors   Y              
General 3096 IB Canada Client Relationship Disclosure   Y              
General 4762 IB Ireland Limited Multicurrency and Forex Disclosure           Y          
General 4757 IB Ireland Ltd Client Assets Key Information Document        Y          
General 4758 IB Ireland Ltd Client Consent to Accept Electronic Delivery               Y          
Advisor-Clients 4772 IB Ireland Ltd Client Financial Advisor Agreement       Y          
General 4756 IB Ireland Ltd Description of Our Services and Fees                 Y          
General 4753 IB Ireland Ltd EMIR Delegated Transaction Reporting Agreement                 Y          
General 4751 IB Ireland Ltd Notice and Acknowledgement of Clearing Agreement              Y          
General 4759 IB Ireland Ltd Risk Warnings and Info on Financial Instruments           Y          
General 4754 IB Ireland MiFIR Enriched and Delegated Transaction Reporting                  Y          
General 4676 IBCE Annexes to Customer Agreement           Y      
General 4500 IBCE Business Rules and General Terms and Conditions (GBR)           Y      
General 4505 IBCE Costs and Fees           Y      
General 4501 IBCE Customer Agreement           Y      
General 4515 IBCE EMIR Reporting Agreement           Y      
General 4502 IBCE Investment Loan Framework Agreement           Y      
General 4517 IBCE MIFIR Reporting Agreement           Y      
General 4518 IBCE Multi Currency Account FX Restrictions           Y      
General 4507 IBCE Notice to Clients of a Fully Disclosed Broker           Y      
General 4520 IBCE Risk Warning on Margin Postions and Investment Loans           Y      
General 4519 IBCE Risk Warnings on Financial Instruments           Y      
General 4516 IBCE SFTR Reporting Agreement           Y      
General 4781 IBIE Day Trading Risk Disclosure Statement                Y          
Advisor-Clients 4776 IB-IE Discretionary Trading Auth for Family Group Account       Y          
OTC Precious Metals 4767 IB-IE Risk Disclosure Statement for Trading OTC Precious Metals          Y          
General 8205 Identity Verification Selfie Photo       Y          
Customer Agreement 4420 Interactive Brokers (U.K.) Limited Order Execution Policy     Y            
Customer Agreement 5009 INTERACTIVE BROKERS (U.K.) LIMITED RETAIL CLIENT NOTIFICATION     Y            
General 4287  Interactive Brokers Canada Inc. BCP Disclosure   Y              
General 4024 Interactive Brokers CRS Customer Relationship Summary Y   Y            
General 4451 Interactive Brokers Group Privacy Statement Policy                  Y Y Y      
General 4760 Interactive Brokers Ireland Limited Order Execution Policy       Y          
General 4783 Interactive Brokers Ireland Limited Stock Stop Order Disclosure       Y          
General 4750 Interactive Brokers Ireland Ltd Customer Agreement           Y          
General 4769 Interactive Brokers Ireland Ltd Retail Client Notification                  Y          
General 3006 Investor Protection for Clients of IIROC Member Firms   Y              
General 2109 Legal Acknowledgement Y Y Y Y Y Y Y Y  
Margin 1005 Margin Disclosure- (Regulation T) Y   Y       Y Y  
Fully-Disclosed Clients 3058 Notice Acknowledgement of Clearing Arrangement Y Y Y   Y Y Y Y  
General 8500 Notice of Clearing Arrangement   Y              
General 3094 Notice Regarding NFA's BASIC System  Y Y Y       Y Y  
General 3081 Notice Regarding USA Patriot Act Section 311 Y Y Y Y     Y Y Y
General 4193 Opening Your Retail Account Brochure   Y              
Customer Agreement 4421 Order Execution Policy For IB (U.K.) Limited - Client Consent     Y            
General 3074 Order Routing and Payment for Order Flow Disclosure Y Y Y       Y Y  
Margin 4015 Portfolio Margin Risk Disclosure Y   Y       Y Y  
General 2192 Privacy Statement Y Y Y       Y Y  
Structured Products 4763 Risk Disclosure For Structured Products with IB Ireland Ltd            Y          
Customer Agreement 3221 Roth IRA Agreement Y                
Customer Agreement 3222 SEP IRA Agreement Y                
General 7001 Shareholders Communication Instruction Form   Y              
Fully-Disclosed Clients 3212 THIS UNIFORM TYPE 2 INTRODUCER/CARRIER BROKER AGREEMENT   Y              
Customer Agreement 3220 Traditional IRA Agreement Y                
General 9130 US Stock Stop Order Disclosure  Y Y Y   Y Y Y Y  
Tax Form 5001 W8BEN Y Y Y Y   Y Y Y Y
Tax Form 5002 W9 (US Citizens Only) Y                
General 4480 IB Lux MiFIR Enriched and Delegated Transaction Reporting         Y        
General 4481 Interactive Brokers Luxembourg Client Consent to Accept Electronic Delivery         Y        
General 4450 Interactive Brokers Luxembourg Order Execution Policy         Y        
General 4483 Interactive Brokers Luxembourg Description of Our Services and Fees         Y        
General 4484 IBLUX Day Trading Risk Disclosure         Y        
General 4458 Interactive Brokers Luxembourg Basic Product Risk Disclosure         Y        
General 4459 Risk Disclosure For Structured Products with IB Luxembourg         Y        
General 4460 IB Luxembourg Disclosure of Risks of Margin Trading         Y        
General 4467 IBLUX Risk Disclosure Statement for Trading OTC Precious Metals         Y        
General 4468 Disclosure For Leveraged, Inverse And Volatility-Based Products         Y        
General 4469 Interactive Brokers Luxembourg Customer Agreement         Y        
General 4472 IB Luxembourg Summary of the Conflicts of Interest Policy         Y