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Interactive Brokers Llc Agreements And INTERACTIVE BROKERS LLC AGREEMENTS AND Interactive Brokers LLC Product Disclosure Statement for Futures and Futures Options DISCLOSURE DOCUMENTS Traded on the Sydney Futures Exchange Interactive Brokers LLC Product Disclosure The documents in this package contain the terms and Statement for Options Traded on the Australian conditions of your customer account with Interactive Stock Exchange Limited Brokers LLC and also contain important information regarding the risks and characteristics of the securities, Interactive Brokers LLC Australian Product commodities and other investment products that may be Disclosure Statement for Foreign Exchange traded in your account. Please read all of these Contracts documents carefully. Agreement for Customers Trading Sydney Futures Exchange Products This package contains: Supplemental Agreement & Disclosures for Trading on the Australian Stock Exchange Limited Interactive Brokers LLC Customer Agreement ASX Explanatory Booklet: Understanding Options Futures Arbitration Agreement Trading Options Clearing Corporation Characteristics and Euronext Liffe Risk Disclosure Risks of Standardized Options Hong Kong Additional Provisions Disclosure of Risks of Margin Trading Hong Kong Risk Disclosure Statements Portfolio Margin Risk Disclosure Statement Hong Kong Client Standing Authorities Risk Disclosure Statement for Futures and Options Pursuant to CFTC Rule 1.55(c) Notice Regarding NFA’s BASIC System CFTC Rule 15.05 Notice to Non-U.S. Traders FINRA Investor Protection Information Resources Disclosure Regarding IB’s Procedures for Risk Disclosure Statement for Forex Trading and Allocating Equity Option Exercise Notices IB Multi-Currency Accounts Day Trading Risk Disclosure Risks of After-Hours Trading For IRA Account Holders: Disclosure Regarding IB’s Business Continuity Interactive Brokers LLC IRA Agreement Plan Interactive Brokers LLC Roth IRA Agreement Interactive Brokers Group Privacy Statement Principal Trust Company Disclosure Statement for Required Disclosures and Supplemental Traditional IRA, SEP-IRA and SIMPLE IRA Agreement for Security Futures Trading at Accounts Interactive Brokers Principal Trust Company Disclosure Statement for FINRA/NFA Disclosure for Security Futures Roth IRA Accounts Trading Principal Trust Company Self-Directed Individual Disclosure for Bond Trading Retirement Trust Agreement & Amendment Privacy Notice of Principal Trust Company ISE Disclosure for Option Orders Over 500 Contracts Internal Revenue Service letter dated 07/29/2003 approving the Delaware Charter Guarantee & Disclosure Regarding Floor/Pit Based Exchanges Trust Co. Traditional IRA and Roth IRA Trust Order Routing and Payment for Order Flow Disclosure Notice Regarding Pre-Arranged Trades on U.S. Futures Exchange Interactive Brokers LLC Financial Services Guide Notice Regarding Anti‐Money Laundering and Customer Identification Procedures: To help the U.S. government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity who opens an account. We are required by law to ask you to provide your name, address, date of birth and other information about you, your organization or persons related to your organization that will allow us to identify you before we approve your account. We also will ask you to provide certain identifying documents, such as your driver's license or passport or your organization's articles of incorporation and may obtain credit and other consumer reports to assist us in verifying your identity and in determining whether you satisfy our account criteria. Unless you provide the requested information and documentation, we may not be able to open your account. By applying for an IB account, you agree to provide accurate and truthful information as requested by IB and you consent to IB's acquisition of credit and other consumer reports about you for the purposes described above. execution or cancellation in error and Customer delays reporting such error, IB reserves the right to remove the trade from the account or require Customer to accept the trade, in IB's discretion. Interactive Brokers LLC Customer Agreement B. Customer agrees to notify IB immediately by telephone or electronically through the IB website if: i) Customer fails to receive an accurate confirmation of an execution or cancellation; ii) Customer 1. Customer Agreement:This Agreement ("Agreement") governs the relationship between Customer and receives a confirmation that is different than Customer's order; iii) Customer receives a Interactive Brokers LLC ("IB"). If this Agreement varies from the IB website, this Agreement controls. This confirmation for an order that Customer did not place; or iv) Customer receives an account Agreement cannot be amended or waived except in writing by an IB officer. Customer Service employees statement, confirmation, or other information reflecting inaccurate orders, trades, balances, cannot amend or waive any part of this Agreement. Customer acknowledges that IB may revise this positions, margin status, or transaction history. Customer acknowledges that IB may adjust Agreement by sending notice of the revised Agreement by e-mail or upon Customer log-in. Customer's use Customer's account to correct any error. Customer agrees to promptly return to IB any assets of IB after such notice constitutes acceptance of the revised Agreement. erroneously distributed to Customer. 2. No Investment, Tax or Trading Advice:IB representatives are not authorized to provide investment, tax 8. Proprietary Trading - Display of Customer Orders: Subject to all laws and regulations, Customer or trading advice or to solicit orders. Nothing on IB's website is a recommendation or solicitation to buy or authorizes IB to execute proprietary trades of itself and its affiliates, though IB may simultaneously sell securities, futures or other investments. hold unexecuted Customer orders for the same products at the same price. 3. Responsibility for Customer Orders/Trades:Customer acknowledges that IB does not know 9. Customer Qualification:Customer warrants that his, her or its application is true and complete; will whether someone entering orders with Customer's user name/password is Customer. Unless IB is promptly notify IB of any information changes; and authorizes IB to make any inquiry to verify information. notified and agrees, Customer will not allow anyone to access Customer's account. Customer is A. Natural Persons: Customer warrants that Customer is over 18; is under no legal incapacity; and has responsible for the confidentiality and use of Customer's user name/password and agrees to report sufficient knowledge and experience to understand the nature and risks of the products to be traded. any theft/loss of such user name/password, or any unauthorized access to Customer's account, B. Organizations: Customer and its authorized representatives warrant that Customer: (i) is authorized immediately by telephone or electronically through the IB website. Customer remains responsible under its governing document(s) and in the jurisdictions in which it is organized and/or regulated to enter for all transactions entered using Customer's user name/password. this Agreement and trade (including on margin if applicable); (ii) is under no legal incapacity; and (iii) that 4. Order Routing: Unless otherwise directed, IB will select the market/dealer to which to route Customer's persons identified to enter orders have proper authority and have sufficient knowledge and experience to orders. For products traded at multiple markets, IB may provide "Smart Routing", which seeks the best understand the nature and risks of the products to be traded. market for each order through a computerized algorithm. Customer should choose Smart Routing if C. Trusts: "Customer" refers to the Trust and/or Trustees. Trustee(s) represent(s) that there are no Trustees available. If Customer directs orders to a particular market, Customer assumes responsibility for knowing other than listed in the application and certifies(y) that IB may follow instructions from any Trustee and and trading in accordance with the rules and policies of that market (e.g., trading hours, order types, etc.). deliver funds, securities, or any other assets to any Trustee or on any Trustee's instructions, including IB cannot guarantee execution of every order at the best posted price: IB may not have access to every delivering assets to a Trustee personally. IB, in its discretion, may require written consent of any or all market/dealer; other orders may trade ahead; market centers may not honor posted prices or may re-route Trustee(s) prior to following instructions of any Trustee. Trustee(s) has (have) the power under the Trust orders for manual handling; or market rules, decisions or system failures may prevent/delay execution of documents and applicable law to enter this Agreement, open the type of account applied for, and enter Customer's orders or cause orders not to receive the best price. transactions and issue instructions. Such powers include, without limit, authority to buy, sell (including 5. Order Cancellation/Modification: Customer acknowledges that it may not be possible to cancel/modify short), exchange, convert, tender, redeem and withdraw assets (including delivery of securities to/from the an order and that Customer is responsible for executions notwithstanding a cancel/modify request. account)
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