Documents

Include forms that are required for Account Opening. This includes any agreements, disclosures, Tax Form, and supplemental documents such as Proof of ID and Proof of Address documents

  • Fully Disclosed Client (Individual, Joint, Retirement)

  • Advisor Client (Individual, Joint, Retirement)

  • Non-Disclosed- NonQI Client (Individual /Joint)

  • Required forms will vary based on the following:

    • Account Type

      • Individual, Joint, Roth IRA, SEP IRA, Traditional IRA, RRSP, TSFA

    • Customer Type

      • Fully-Disclosed Broker Client OR Advisor-Client

    • Capabilities

      • Cash, Margin, Portfolio Margin

    • Trade Permissions

      • United States Stocks, United States Options, etc.

    • IBKR Entity the Account is associated with.

      • IBLLC-US, IB-CAN, IB-UK, IB-IE, IB-EU, IB-CE, IB-HK, IB-AU

XSD

Copy 
<xsd:complexType name="Documents">
<xsd:element name="Document" use="Required">
<xsd:sequence>
 <xsd:element name="Document" type="Document" maxOccurs="Unbounded" />
  <xsd:attribute name="form_no" type="YYYYMMDDHHMMSS" use="Required">
  <xsd:attribute name="exec_ts" type="YYYYMMDDHHMMSS" use="Required">
  <xsd:attribute name="SignedBy" type="string" use="Required">
  <xsd:attribute name="proof_of_identity_type" type="xsd:string" use="Required IF form_no=8001, 8053, 8057 OR 8205">
  <xsd:attribute name="proof_of_address_type" type="xsd:string" use="Required IF form_no=8002">
  <xsd:attribute name="valid_address" type="xsd:string" use="optional IF form_no= 8001, 8053, 8057 OR 8205">
   <xsd:attribute name="expiration_date" type="YYYY-MM-DD" use="Required of proof_of_identity_type is Drivers License or Passport">
  <xsd:element name="AttachedFile" use="Required" />
  <xsd:attribute name="file_name" type="String" use="Required">
  <xsd:attribute name="sha1_checksum" type="String" use="Required">
  <xsd:attribute name="file_length" type="String" use="Required">
 </xsd:sequence>

Parameters

Name

Type

Description

file_name

String

File name of the document submitted to IBKR. file_name included within the XML request must match the file_name of the file that is included within the archive.

Acceptable formats: .jpeg, .jpg, .pdf, .png

Maximum size: 25 MB

sha1_checksum

String

SHA-1 is crypto algorithm that is used to verify that a file has been unaltered. This is done by producing a checksum before the file has been transmitted, and then again once it reaches its destination.

form_no

String

Form number of the pending_task OR Document submitted.

exec_ts

YYYYMMDDHHMMSS

Timestamp of the execution of the agreement by the customer (i.e. time the client signed the agreement).

exec_login_ts

YYYYMMDDHHMMSS

Login timestamp for the session (when the client logged in and acknowledged the agreement.

SignedBy

String

SignedBy must match the submitted: first name middle initial (if applicable) last name suffix (if applicable) . For accounts with multiple account holders (ie. Joint account) the SignedBy should be in sequential order, First Holder followed by Second Holder.

*Data is case and space sensitive.

 

proof_of_identity_type

All Entities Except for IB-CAN

Driver License

Passport

Alien ID Card

National ID Card

IB-CAN only

Bank Statement

Evidence of Ownership of Property

Credit Card Statement

Utility Bill

Brokerage Statement

T4 Statement

CRA Assessment

Description of document type.

Required IF form_no=8001, 8053, 8057 OR 8205

Applicable for:

proof_of_address_type

one of:

Bank Statement

Brokerage Statement

Homeowner Insurance Policy Bill

Homeowner Insurance Policy Document

Renter Insurance Policy bill

Renter Insurance Policy Document

Security System Bill

Government Issued Letters

Utility Bill

Current Lease

Evidence of Ownership of Property

Driver License

Other Document

Description of document type.

Required IF form_no=8002

Applicable for:

valid_address

true

false

If valid_address="true", the document will be used to satisfy Proof of Identity and Proof of Address.

Refer to Validations for details.

expiration_date

YYYY-MM-DD

Required IF proof_of_address_type=Passport OR Drivers License

Copy
General Agreement
<Documents>
<Document form_no="3007" exec_ts="20140620165825" exec_login_ts="20140620195825">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="3007.pdf" file_length="10896" sha1_checksum="d3da913817130c7" />
</Document> 
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Proof of Identity 
<Document form_no="8001" exec_ts="20170316115456" exec_login_ts="20170316115456" proof_of_identity_type="Driver License" expiration_date="2028-12-24">
<SignedBy>John Smith</SignedBy>                
<AttachedFile file_name="Form8001.jpg" file_length="121277" sha1_checksum="ac2deb28d541a814dc448f7670da14c52745c4a5" />            
</Document>
Copy
Proof of Identity and Proof of Address
<Document form_no="8001" valid_address="true" exec_ts="20170316115456" exec_login_ts="20170316115456" proof_of_identity_type="Driver License" >
<SignedBy>John Smith</SignedBy>                
<AttachedFile file_name="Form8001.jpg" file_length="121277" sha1_checksum="ac2deb28d541a814dc448f7670da14c52745c4a5" />            
</Document>