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Interactive Brokers Regulatory Information

Interactive Brokers LLC ("IB") is an agency only, direct market access broker that provides execution, clearance, settlement and prime brokerage for customers. Our business encompasses securities and commodities brokerage. IB does not engage in proprietary trading.

As a registered Futures Commission Merchant ("FCM"), IB is subject to the Commodity Exchange Act and rules promulgated by the Commodity Futures Trading Commission ("CFTC"), the National Futures Association ("NFA") and the various commodity exchanges of which we are members.

As a registered U.S. broker dealer, IB is subject to the rules and regulations of the Securities Exchange Act of 1934 (the "Exchange Act") and other rules promulgated by the Securities and Exchange Commission ("SEC"), the Financial Industry Regulatory Authority ("FINRA") and the rules of various securities exchanges of which we are members.

Financial Information

Equity and regulatory capital for the past 12 months:

All $s in millions.

Month End Total Equity Adjusted Net Capital (Tentative Net Capital) Net Capital Excess Net Capital

IB Annual Financial Statements

Selected FOCUS Filings Data

Please see our Strength and Security page for an overview of how IB protects customer funds.

On a daily basis IB compares the amount of funds required to be safeguarded for its commodities customers to the funds held in specially designated segregated commodities accounts. We perform two daily commodities computations: (1) domestic futures segregated funds computation and (2) foreign futures and options secured amount computation.

U.S. securities regulations require broker-dealers to perform a detailed reconciliation of customer money and securities (known as the "Customer Reserve Computation") at least weekly, to ensure that the right amount of customer money is protected. IB performs this computation daily.

The tables below report these daily computations for the past 12 months.

Domestic Segregated Funds, pursuant to CFTC regulation 1.20

All $s in millions.

Date Requirement Funds Segregated Excess

Foreign Secured Amount, pursuant to CFTC regulation 30.7

All $s in millions.

Date Requirement Funds Secured Excess

CFTC Regulation 1.55(o)(1)(iv) Disclosure12/31/2014

CFTC Computation Details
Securities Customer Reserve, pursuant to the SEC rule 15c3-3

All $s in millions.

Date Requirement Funds Segregated Excess

The below table provides concentration statistics of IB's domestic and foreign commodities funds owed to customers, as indicated by the smallest number of IB customers that make up 50% of these amounts.

"N/A" in the table below indicates a settlement holiday.

Date Domestic Segregated Foreign Secured
Smallest number of customers that comprise 50% of the funds owed to customers

IB does not conduct proprietary trading. However, certain IB affiliates (defined as entities under common control and employees of the firm) hold accounts with IB to trade for their own purposes. For regulatory purposes, IB's affiliates are not treated as customers.

The table below reports the last 12 months of margin requirements for affiliate accounts conducting proprietary trading as a percent of total margin requirements for IB's customers.

All $s in millions.

Month End Affiliate Proprietary Margin Requirement Total Customer Margin Requirement Affiliate Proprietary Margin Requirement as % of Total Customer Margin Requirement

Regulatory Disclosures

Please click below for the Interactive Brokers Firm Specific Disclosure Document required by CFTC Rule 1.55(k).
Interactive Brokers LLC Firm Specific Disclosure Document pursuant to CFTC Rule 1.55(k) and NFA Rule 2-36(n)

Additional Information

Additional information is available on the National Futures Association website by searching for Interactive Brokers LLC in NFA's BASIC system (http://www.nfa.futures.org/basicnet/), clicking on "Interactive Brokers LLC", then "View Financial Information" and then viewing the data available under FCM Capital Report (Updated Monthly), FCM Customer Segregated Funds Report (Updated Semi-Monthly), FCM Customer Secured Amount Funds Report (Updated Semi-Monthly), FCM Cleared Swaps Customer Collateral Report (Updated Semi-Monthly).

Additional financial information on all futures commission merchants is available from the Commodity Futures Trading Commission here.