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
2015-12 $3,214 $2,541 $2,367 $2,108
2015-11 $3,170 $2,448 $2,276 $2,005
2015-10 $3,148 $2,431 $2,257 $2,004
2015-09 $3,103 $2,502 $2,322 $2,076
2015-08 $3,137 $2,444 $2,318 $2,041
2015-07 $3,084 $2,382 $2,257 $1,982
2015-06 $3,032 $2,470 $2,341 $2,038
2015-05 $2,980 $2,454 $2,317 $2,011
2015-04 $2,944 $2,317 $2,193 $1,895
2015-03 $2,918 $2,589 $2,457 $2,193
2015-02 $2,854 $2,358 $2,229 $1,962
2015-01 $2,842 $2,562 $2,460 $2,186

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
2016-02-19 $2,583 $2,786 $202
2016-02-18 $2,585 $2,810 $225
2016-02-17 $2,587 $2,780 $193
2016-02-16 $2,585 $2,798 $213
2016-02-15 $2,615 $2,826 $210
2016-02-12 $2,609 $2,820 $212
2016-02-11 $2,602 $2,817 $215
2016-02-10 $2,585 $2,782 $197
2016-02-09 $2,568 $2,755 $187
2016-02-08 $2,564 $2,824 $260
2016-02-05 $2,601 $2,781 $181
2016-02-04 $2,534 $2,759 $226
2016-02-03 $2,561 $2,777 $216
2016-02-02 $2,599 $2,802 $204
2016-02-01 $2,552 $2,786 $234
2016-01-29 $2,599 $2,805 $207
2016-01-28 $2,618 $2,824 $205
2016-01-27 $2,628 $2,840 $212
2016-01-26 $2,622 $2,816 $195
2016-01-25 $2,626 $2,872 $245
2016-01-22 $2,642 $2,833 $191
2016-01-21 $2,624 $2,849 $224
2016-01-20 $2,644 $2,838 $194
2016-01-19 $2,591 $2,819 $228
2016-01-18 $2,616 $2,842 $226
2016-01-15 $2,620 $2,843 $222
2016-01-14 $2,592 $2,816 $224
2016-01-13 $2,622 $2,837 $215
2016-01-12 $2,612 $2,818 $206
2016-01-11 $2,609 $2,817 $207
2016-01-08 $2,615 $2,818 $202
2016-01-07 $2,605 $2,821 $216
2016-01-06 $2,625 $2,828 $203
2016-01-05 $2,581 $2,781 $200
2016-01-04 $2,565 $2,784 $219
2015-12-31 $2,533 $2,756 $224
2015-12-30 $2,511 $2,738 $228
2015-12-29 $2,510 $2,702 $191
2015-12-28 $2,514 $2,722 $208
2015-12-24 $2,521 $2,739 $218
2015-12-23 $2,533 $2,737 $204
2015-12-22 $2,546 $2,739 $193
2015-12-21 $2,544 $2,769 $226
2015-12-18 $2,582 $2,823 $241
2015-12-17 $2,614 $2,798 $184
2015-12-16 $2,530 $2,742 $211
2015-12-15 $2,559 $2,762 $203
2015-12-14 $2,563 $2,779 $216
2015-12-11 $2,559 $2,762 $204
2015-12-10 $2,548 $2,747 $199
2015-12-09 $2,543 $2,745 $202
2015-12-08 $2,535 $2,751 $216
2015-12-07 $2,542 $2,754 $212
2015-12-04 $2,540 $2,731 $191
2015-12-03 $2,541 $2,741 $200
2015-12-02 $2,584 $2,798 $214
2015-12-01 $2,559 $2,761 $202
2015-11-30 $2,586 $2,803 $218
2015-11-27 $2,580 $2,779 $199
2015-11-25 $2,581 $2,782 $201
2015-11-24 $2,575 $2,781 $207
2015-11-23 $2,580 $2,806 $225
2015-11-20 $2,588 $2,796 $208
2015-11-19 $2,593 $2,794 $201
2015-11-18 $2,604 $2,805 $201
2015-11-17 $2,648 $2,869 $221
2015-11-16 $2,666 $2,863 $197
2015-11-13 $2,645 $2,852 $207
2015-11-12 $2,630 $2,839 $209
2015-11-11 $2,615 $2,815 $200
2015-11-10 $2,615 $2,811 $196
2015-11-09 $2,592 $2,809 $218
2015-11-06 $2,587 $2,782 $195
2015-11-05 $2,554 $2,760 $207
2015-11-04 $2,552 $2,762 $210
2015-11-03 $2,513 $2,715 $202
2015-11-02 $2,505 $2,688 $183
2015-10-30 $2,521 $2,730 $209
2015-10-29 $2,519 $2,706 $187
2015-10-28 $2,517 $2,734 $218
2015-10-27 $2,546 $2,754 $208
2015-10-26 $2,551 $2,755 $204
2015-10-23 $2,559 $2,753 $194
2015-10-22 $2,559 $2,755 $196
2015-10-21 $2,548 $2,750 $202
2015-10-20 $2,523 $2,721 $199
2015-10-19 $2,500 $2,744 $244
2015-10-16 $2,542 $2,749 $207
2015-10-15 $2,548 $2,758 $210
2015-10-14 $2,545 $2,740 $195
2015-10-13 $2,534 $2,753 $218
2015-10-12 $2,511 $2,712 $201
2015-10-09 $2,516 $2,718 $202
2015-10-08 $2,515 $2,709 $193
2015-10-07 $2,524 $2,730 $206
2015-10-06 $2,553 $2,765 $212
2015-10-05 $2,559 $2,770 $211
2015-10-02 $2,581 $2,778 $196
2015-10-01 $2,571 $2,783 $213
2015-09-30 $2,570 $2,780 $210
2015-09-29 $2,585 $2,811 $226
2015-09-28 $2,605 $2,812 $207
2015-09-25 $2,580 $2,795 $214
2015-09-24 $2,587 $2,790 $203
2015-09-23 $2,576 $2,790 $215
2015-09-22 $2,591 $2,812 $221
2015-09-21 $2,552 $2,761 $209
2015-09-18 $2,554 $2,777 $223
2015-09-17 $2,522 $2,726 $203
2015-09-16 $2,499 $2,699 $199
2015-09-15 $2,500 $2,702 $202
2015-09-14 $2,512 $2,719 $207
2015-09-11 $2,511 $2,724 $213
2015-09-10 $2,539 $2,760 $221
2015-09-09 $2,588 $2,794 $205
2015-09-08 $2,548 $2,738 $190
2015-09-04 $2,579 $2,780 $201
2015-09-03 $2,553 $2,751 $198
2015-09-02 $2,532 $2,760 $229
2015-09-01 $2,563 $2,767 $204
2015-08-31 $2,540 $2,736 $197
2015-08-28 $2,519 $2,744 $225
2015-08-27 $2,534 $2,740 $207
2015-08-26 $2,510 $2,725 $215
2015-08-25 $2,510 $2,714 $204
2015-08-24 $2,420 $2,624 $204
2015-08-21 $2,491 $2,680 $190
2015-08-20 $2,551 $2,754 $203
2015-08-19 $2,549 $2,754 $205
2015-08-18 $2,558 $2,787 $228
2015-08-17 $2,583 $2,777 $194
2015-08-14 $2,541 $2,757 $216
2015-08-13 $2,555 $2,766 $211
2015-08-12 $2,552 $2,761 $209
2015-08-11 $2,606 $2,815 $209
2015-08-10 $2,565 $2,770 $205
2015-08-07 $2,581 $2,795 $215
2015-08-06 $2,595 $2,827 $232
2015-08-05 $2,616 $2,828 $212
2015-08-04 $2,632 $2,868 $235
2015-08-03 $2,652 $2,853 $200
2015-07-31 $2,628 $2,843 $215
2015-07-30 $2,639 $2,836 $197
2015-07-29 $2,608 $2,821 $213
2015-07-28 $2,622 $2,818 $196
2015-07-27 $2,614 $2,823 $209
2015-07-24 $2,640 $2,859 $219
2015-07-23 $2,623 $2,822 $199
2015-07-22 $2,612 $2,820 $208
2015-07-21 $2,570 $2,779 $209
2015-07-20 $2,584 $2,799 $216
2015-07-17 $2,605 $2,809 $204
2015-07-16 $2,598 $2,795 $197
2015-07-15 $2,589 $2,790 $201
2015-07-14 $2,562 $2,754 $192
2015-07-13 $2,548 $2,742 $194
2015-07-10 $2,527 $2,758 $231
2015-07-09 $2,577 $2,752 $176
2015-07-08 $2,513 $2,724 $211
2015-07-07 $2,529 $2,731 $201
2015-07-06 $2,515 $2,719 $203
2015-07-03 $2,459 $2,691 $232
2015-07-02 $2,492 $2,691 $199
2015-07-01 $2,488 $2,690 $202
2015-06-30 $2,467 $2,692 $225
2015-06-29 $2,446 $2,714 $268
2015-06-26 $2,504 $2,724 $221
2015-06-25 $2,522 $2,725 $203
2015-06-24 $2,523 $2,729 $206
2015-06-23 $2,513 $2,710 $198
2015-06-22 $2,493 $2,694 $201
2015-06-19 $2,509 $2,736 $226
2015-06-18 $2,496 $2,717 $221
2015-06-17 $2,495 $2,698 $203
2015-06-16 $2,504 $2,703 $199
2015-06-15 $2,477 $2,720 $243
2015-06-12 $2,520 $2,729 $210
2015-06-11 $2,525 $2,727 $202
2015-06-10 $2,474 $2,687 $213
2015-06-09 $2,502 $2,728 $226
2015-06-08 $2,542 $2,728 $186
2015-06-05 $2,554 $2,790 $236
2015-06-04 $2,564 $2,743 $179
2015-06-03 $2,513 $2,702 $189
2015-06-02 $2,517 $2,729 $212
2015-06-01 $2,575 $2,812 $237
2015-05-29 $2,605 $2,812 $207
2015-05-28 $2,589 $2,833 $244
2015-05-27 $2,627 $2,838 $211
2015-05-26 $2,646 $2,874 $228
2015-05-22 $2,599 $2,809 $210
2015-05-21 $2,538 $2,735 $196
2015-05-20 $2,537 $2,737 $199
2015-05-19 $2,524 $2,732 $209
2015-05-18 $2,515 $2,731 $216
2015-05-15 $2,507 $2,713 $206
2015-05-14 $2,494 $2,701 $207
2015-05-13 $2,458 $2,666 $208
2015-05-12 $2,417 $2,632 $216
2015-05-11 $2,446 $2,631 $185
2015-05-08 $2,427 $2,632 $205
2015-05-07 $2,407 $2,615 $207
2015-05-06 $2,391 $2,588 $197
2015-05-05 $2,398 $2,623 $225
2015-05-04 $2,423 $2,610 $187
2015-05-01 $2,402 $2,607 $205
2015-04-30 $2,397 $2,617 $219
2015-04-29 $2,414 $2,613 $199
2015-04-28 $2,421 $2,616 $195
2015-04-27 $2,445 $2,630 $185
2015-04-24 $2,415 $2,620 $205
2015-04-23 $2,410 $2,626 $216
2015-04-22 $2,434 $2,631 $197
2015-04-21 $2,440 $2,623 $183
2015-04-20 $2,410 $2,663 $253
2015-04-17 $2,463 $2,669 $206
2015-04-16 $2,441 $2,667 $226
2015-04-15 $2,445 $2,640 $195
2015-04-14 $2,434 $2,635 $201
2015-04-13 $2,449 $2,670 $222
2015-04-10 $2,463 $2,667 $205
2015-04-09 $2,461 $2,665 $204
2015-04-08 $2,420 $2,620 $200
2015-04-07 $2,420 $2,641 $220
2015-04-06 $2,409 $2,608 $199
2015-04-03 $2,395 $2,629 $234
2015-04-02 $2,417 $2,629 $212
2015-04-01 $2,455 $2,650 $194
2015-03-31 $2,448 $2,689 $241
2015-03-30 $2,466 $2,664 $198
2015-03-27 $2,448 $2,659 $210
2015-03-26 $2,462 $2,672 $210
2015-03-25 $2,461 $2,661 $199
2015-03-24 $2,458 $2,667 $209
2015-03-23 $2,461 $2,660 $200
2015-03-20 $2,478 $2,690 $212
2015-03-19 $2,540 $2,820 $280
2015-03-18 $2,577 $2,782 $206
2015-03-17 $2,593 $2,823 $230
2015-03-16 $2,604 $2,800 $195
2015-03-13 $2,628 $2,831 $203
2015-03-12 $2,575 $2,783 $208
2015-03-11 $2,606 $2,854 $248
2015-03-10 $2,608 $2,837 $229
2015-03-09 $2,576 $2,807 $231
2015-03-06 $2,586 $2,792 $206
2015-03-05 $2,551 $2,776 $226
2015-03-04 $2,561 $2,762 $202
2015-03-03 $2,518 $2,721 $202
2015-03-02 $2,501 $2,699 $198
2015-02-27 $2,498 $2,715 $217
2015-02-26 $2,499 $2,690 $192
2015-02-25 $2,443 $2,652 $209
2015-02-24 $2,448 $2,654 $206
2015-02-23 $2,458 $2,688 $229
2015-02-20 $2,469 $2,671 $202
2015-02-19 $2,452 $2,653 $202

Foreign Secured Amount, pursuant to CFTC regulation 30.7

All $s in millions.

Date Requirement Funds Secured Excess
2016-02-19 $295 $424 $129
2016-02-18 $302 $412 $110
2016-02-17 $297 $424 $127
2016-02-16 $293 $418 $125
2016-02-15 $289 $419 $130
2016-02-12 $302 $427 $125
2016-02-11 $291 $407 $116
2016-02-10 $292 $419 $127
2016-02-09 $290 $428 $138
2016-02-08 $298 $419 $122
2016-02-05 $297 $429 $131
2016-02-04 $307 $444 $137
2016-02-03 $322 $459 $136
2016-02-02 $322 $451 $129
2016-02-01 $324 $456 $132
2016-01-29 $335 $449 $114
2016-01-28 $324 $448 $124
2016-01-27 $325 $453 $128
2016-01-26 $337 $468 $131
2016-01-25 $329 $472 $144
2016-01-22 $347 $483 $136
2016-01-21 $353 $503 $150
2016-01-20 $354 $504 $150
2016-01-19 $374 $471 $97
2016-01-18 $349 $459 $110
2016-01-15 $348 $460 $112
2016-01-14 $331 $453 $122
2016-01-13 $331 $446 $115
2016-01-12 $322 $442 $120
2016-01-11 $318 $442 $124
2016-01-08 $314 $437 $124
2016-01-07 $309 $443 $134
2016-01-06 $315 $443 $128
2016-01-05 $319 $448 $129
2016-01-04 $325 $452 $127
2015-12-31 $323 $446 $123
2015-12-30 $319 $456 $137
2015-12-29 $328 $461 $133
2015-12-28 $331 $461 $129
2015-12-25 $342 $464 $122
2015-12-24 $340 $466 $127
2015-12-23 $342 $466 $124
2015-12-22 $331 $459 $128
2015-12-21 $337 $468 $131
2015-12-18 $333 $465 $132
2015-12-17 $332 $486 $154
2015-12-16 $349 $457 $108
2015-12-15 $339 $469 $130
2015-12-14 $330 $439 $109
2015-12-11 $325 $444 $119
2015-12-10 $324 $447 $123
2015-12-09 $325 $444 $119
2015-12-08 $323 $449 $126
2015-12-07 $324 $454 $130
2015-12-04 $319 $455 $136
2015-12-03 $334 $465 $131
2015-12-02 $339 $448 $109
2015-12-01 $327 $452 $125
2015-11-30 $334 $461 $126
2015-11-27 $330 $458 $128
2015-11-26 $331 $450 $119
2015-11-25 $326 $454 $128
2015-11-24 $327 $456 $129
2015-11-23 $335 $462 $127
2015-11-20 $340 $463 $124
2015-11-19 $338 $457 $119
2015-11-18 $339 $462 $123
2015-11-17 $331 $444 $113
2015-11-16 $321 $448 $127
2015-11-13 $318 $449 $131
2015-11-12 $325 $435 $110
2015-11-11 $313 $454 $141
2015-11-10 $318 $443 $126
2015-11-09 $320 $443 $123
2015-11-06 $326 $452 $126
2015-11-05 $328 $454 $125
2015-11-04 $333 $444 $110
2015-11-03 $328 $449 $121
2015-11-02 $331 $472 $141
2015-10-30 $344 $449 $104
2015-10-29 $327 $455 $128
2015-10-28 $334 $466 $132
2015-10-27 $338 $460 $121
2015-10-26 $341 $461 $120
2015-10-23 $342 $468 $126
2015-10-22 $342 $464 $122
2015-10-21 $331 $463 $132
2015-10-20 $338 $455 $117
2015-10-19 $330 $456 $126
2015-10-16 $329 $457 $128
2015-10-15 $335 $456 $121
2015-10-14 $335 $467 $132
2015-10-13 $342 $469 $127
2015-10-12 $344 $452 $109
2015-10-09 $341 $457 $116
2015-10-08 $335 $474 $138
2015-10-07 $350 $469 $118
2015-10-06 $350 $467 $116
2015-10-05 $342 $471 $129
2015-10-02 $352 $466 $114
2015-10-01 $337 $451 $115
2015-09-30 $327 $443 $117
2015-09-29 $322 $458 $136
2015-09-28 $328 $466 $138
2015-09-25 $341 $468 $127
2015-09-24 $342 $462 $121
2015-09-23 $336 $469 $133
2015-09-22 $344 $453 $108
2015-09-21 $336 $465 $130
2015-09-18 $337 $458 $122
2015-09-17 $343 $464 $121
2015-09-16 $336 $459 $123
2015-09-15 $338 $470 $132
2015-09-14 $341 $477 $136
2015-09-11 $349 $468 $119
2015-09-10 $353 $474 $121
2015-09-09 $355 $473 $118
2015-09-08 $344 $464 $120
2015-09-07 $339 $456 $117
2015-09-04 $332 $456 $124
2015-09-03 $338 $461 $124
2015-09-02 $339 $457 $118
2015-09-01 $335 $461 $125
2015-08-31 $346 $471 $125
2015-08-28 $350 $478 $128
2015-08-27 $356 $481 $125
2015-08-26 $350 $481 $131
2015-08-25 $363 $491 $128
2015-08-24 $359 $480 $120
2015-08-21 $361 $484 $123
2015-08-20 $372 $487 $115
2015-08-19 $368 $502 $134
2015-08-18 $390 $520 $131
2015-08-17 $397 $546 $148
2015-08-14 $418 $569 $151
2015-08-13 $430 $570 $140
2015-08-12 $408 $534 $126
2015-08-11 $416 $537 $121
2015-08-10 $391 $511 $120
2015-08-07 $383 $504 $122
2015-08-06 $383 $506 $123
2015-08-05 $388 $515 $127
2015-08-04 $377 $506 $129
2015-08-03 $385 $518 $133
2015-07-31 $396 $531 $136
2015-07-30 $396 $545 $148
2015-07-29 $405 $565 $160
2015-07-28 $404 $552 $148
2015-07-27 $414 $553 $140
2015-07-24 $430 $555 $126
2015-07-23 $437 $586 $149
2015-07-22 $440 $555 $116
2015-07-21 $438 $563 $125
2015-07-20 $438 $565 $127
2015-07-17 $435 $572 $137
2015-07-16 $437 $587 $149
2015-07-15 $449 $599 $150
2015-07-14 $451 $619 $167
2015-07-13 $454 $635 $181
2015-07-10 $460 $653 $192
2015-07-09 $457 $641 $184
2015-07-08 $452 $595 $143
2015-07-07 $468 $591 $123
2015-07-06 $469 $613 $144
2015-07-03 $453 $579 $126
2015-07-02 $455 $598 $144
2015-07-01 $459 $602 $143
2015-06-30 $469 $612 $143
2015-06-29 $469 $586 $117
2015-06-26 $481 $644 $163
2015-06-25 $517 $658 $141
2015-06-24 $535 $662 $127
2015-06-23 $534 $674 $140
2015-06-22 $526 $672 $146
2015-06-19 $503 $669 $167
2015-06-18 $541 $664 $123
2015-06-17 $532 $682 $150
2015-06-16 $530 $675 $146
2015-06-15 $544 $660 $115
2015-06-12 $552 $706 $154
2015-06-11 $570 $704 $134
2015-06-10 $569 $685 $116
2015-06-09 $562 $704 $142
2015-06-08 $580 $759 $179
2015-06-05 $578 $700 $122
2015-06-04 $602 $740 $138
2015-06-03 $597 $743 $146
2015-06-02 $611 $727 $116
2015-06-01 $600 $759 $159
2015-05-29 $556 $753 $197
2015-05-28 $566 $765 $199
2015-05-27 $569 $710 $141
2015-05-26 $568 $723 $155
2015-05-25 $576 $739 $163
2015-05-22 $573 $714 $141
2015-05-21 $555 $704 $149
2015-05-20 $561 $719 $158
2015-05-19 $584 $758 $174
2015-05-18 $578 $743 $165
2015-05-15 $583 $713 $130
2015-05-14 $553 $680 $127
2015-05-13 $558 $670 $112
2015-05-12 $554 $664 $110
2015-05-11 $551 $683 $132
2015-05-08 $545 $703 $158
2015-05-07 $536 $682 $146
2015-05-06 $570 $703 $134
2015-05-05 $557 $692 $135
2015-05-04 $553 $682 $129
2015-05-01 $548 $668 $120
2015-04-30 $545 $649 $104
2015-04-29 $533 $673 $140
2015-04-28 $543 $744 $201
2015-04-27 $550 $894 $344
2015-04-24 $698 $901 $202
2015-04-23 $724 $904 $180
2015-04-22 $768 $949 $180
2015-04-21 $757 $953 $195
2015-04-20 $698 $843 $145
2015-04-17 $721 $813 $92
2015-04-16 $669 $755 $86
2015-04-15 $607 $745 $139
2015-04-14 $594 $743 $149
2015-04-13 $602 $760 $158
2015-04-10 $578 $733 $156
2015-04-09 $555 $667 $112
2015-04-08 $533 $644 $111
2015-04-07 $479 $600 $121
2015-04-06 $482 $586 $104
2015-04-03 $480 $592 $112
2015-04-02 $477 $587 $109
2015-04-01 $476 $574 $98
2015-03-31 $460 $560 $100
2015-03-30 $452 $561 $109
2015-03-27 $433 $535 $102
2015-03-26 $429 $535 $106
2015-03-25 $443 $548 $104
2015-03-24 $450 $541 $91
2015-03-23 $446 $540 $94
2015-03-20 $440 $540 $100
2015-03-19 $430 $531 $101
2015-03-18 $427 $525 $98
2015-03-17 $413 $512 $99
2015-03-16 $410 $510 $101
2015-03-13 $399 $502 $104
2015-03-12 $393 $493 $100
2015-03-11 $378 $487 $109
2015-03-10 $383 $490 $108
2015-03-09 $397 $510 $112
2015-03-06 $405 $511 $106
2015-03-05 $410 $509 $99
2015-03-04 $408 $509 $102
2015-03-03 $404 $506 $102
2015-03-02 $417 $524 $107
2015-02-27 $425 $524 $98
2015-02-26 $422 $528 $106
2015-02-25 $417 $512 $95
2015-02-24 $410 $511 $101
2015-02-23 $404 $507 $103
2015-02-20 $451 $556 $105
2015-02-19 $442 $549 $107

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
2016-02-18 $15,778 $16,024 $246
2016-02-17 $15,754 $16,015 $260
2016-02-16 $15,676 $15,919 $243
2016-02-12 $15,541 $15,591 $50
2016-02-11 $15,253 $15,458 $205
2016-02-10 $15,250 $15,505 $255
2016-02-09 $15,383 $15,643 $259
2016-02-08 $15,378 $15,629 $251
2016-02-05 $15,550 $15,814 $264
2016-02-04 $15,644 $15,891 $247
2016-02-03 $15,772 $16,031 $258
2016-02-02 $15,432 $15,680 $248
2016-02-01 $15,495 $15,759 $264
2016-01-29 $15,214 $15,460 $246
2016-01-28 $15,290 $15,543 $254
2016-01-27 $15,178 $15,431 $253
2016-01-26 $14,922 $15,174 $251
2016-01-25 $15,003 $15,300 $297
2016-01-22 $15,007 $15,260 $253
2016-01-21 $14,938 $15,184 $246
2016-01-20 $15,242 $15,490 $248
2016-01-19 $15,216 $15,480 $264
2016-01-14 $14,981 $15,210 $229
2016-01-13 $14,883 $15,137 $254
2016-01-12 $14,980 $15,232 $252
2016-01-11 $15,092 $15,347 $255
2016-01-08 $15,146 $15,394 $248
2016-01-07 $14,999 $15,253 $254
2016-01-06 $14,935 $15,192 $256
2016-01-05 $14,704 $14,973 $269
2016-01-04 $14,746 $14,998 $252
2015-12-31 $14,598 $14,897 $299
2015-12-30 $14,625 $14,877 $252
2015-12-29 $14,404 $14,658 $253
2015-12-28 $14,492 $14,736 $245
2015-12-25 $14,312 $14,561 $249
2015-12-23 $14,472 $14,781 $309
2015-12-22 $14,491 $14,741 $250
2015-12-21 $14,379 $14,554 $175
2015-12-18 $14,303 $14,555 $252
2015-12-17 $14,343 $14,598 $255
2015-12-16 $14,458 $14,713 $254
2015-12-15 $14,558 $14,804 $246
2015-12-14 $14,699 $14,948 $249
2015-12-11 $14,541 $14,783 $243
2015-12-10 $14,694 $14,952 $259
2015-12-09 $14,579 $14,826 $248
2015-12-08 $14,715 $14,966 $251
2015-12-07 $14,768 $15,015 $247
2015-12-04 $14,818 $15,067 $250
2015-12-03 $14,661 $14,913 $252
2015-12-02 $14,957 $15,202 $245
2015-12-01 $14,905 $15,151 $246
2015-11-30 $14,919 $15,173 $254
2015-11-27 $14,855 $15,103 $248
2015-11-26 $15,185 $15,437 $252
2015-11-24 $14,570 $14,819 $249
2015-11-23 $14,660 $14,910 $250
2015-11-20 $14,887 $15,138 $251
2015-11-19 $14,946 $15,193 $247
2015-11-18 $14,982 $15,232 $250
2015-11-17 $15,098 $15,346 $248
2015-11-16 $15,251 $15,499 $249
2015-11-13 $15,365 $15,618 $253
2015-11-12 $15,313 $15,564 $252
2015-11-11 $15,068 $15,321 $253
2015-11-09 $15,280 $15,531 $251
2015-11-06 $15,396 $15,645 $249
2015-11-05 $15,500 $15,739 $238
2015-11-04 $15,379 $15,628 $249
2015-11-03 $15,357 $15,600 $244
2015-11-02 $15,415 $15,662 $247
2015-10-30 $15,410 $15,654 $244
2015-10-29 $15,351 $15,602 $251
2015-10-28 $15,361 $15,605 $244
2015-10-27 $15,247 $15,499 $252
2015-10-26 $15,409 $15,661 $252
2015-10-23 $15,341 $15,593 $252
2015-10-22 $15,455 $15,697 $242
2015-10-21 $15,617 $15,868 $251
2015-10-20 $15,491 $15,745 $254
2015-10-19 $15,698 $15,942 $244
2015-10-16 $15,807 $16,058 $251
2015-10-15 $15,828 $16,073 $245
2015-10-14 $15,762 $16,006 $244
2015-10-13 $15,937 $16,198 $261
2015-10-12 $15,664 $15,918 $254
2015-10-08 $15,653 $15,920 $266
2015-10-07 $15,665 $15,913 $248
2015-10-06 $15,571 $15,834 $263
2015-10-05 $15,322 $15,574 $251
2015-10-02 $15,178 $15,425 $247
2015-10-01 $15,226 $15,487 $261
2015-09-30 $15,084 $15,333 $249
2015-09-29 $15,054 $15,308 $254
2015-09-28 $15,174 $15,431 $257
2015-09-25 $15,137 $15,395 $258
2015-09-24 $15,129 $15,376 $246
2015-09-23 $15,265 $15,520 $255
2015-09-22 $15,400 $15,649 $250
2015-09-21 $15,126 $15,387 $261
2015-09-18 $15,248 $15,490 $242
2015-09-17 $15,331 $15,594 $262
2015-09-16 $15,347 $15,620 $273
2015-09-15 $15,308 $15,558 $249
2015-09-14 $15,598 $15,824 $226
2015-09-11 $15,534 $15,783 $249
2015-09-10 $15,558 $15,815 $257
2015-09-09 $15,640 $15,890 $251
2015-09-08 $15,778 $16,025 $247
2015-09-07 $15,784 $16,024 $240
2015-09-03 $15,548 $15,793 $245
2015-09-02 $15,485 $15,741 $257
2015-09-01 $15,041 $15,288 $247
2015-08-31 $14,856 $15,120 $263
2015-08-28 $14,895 $15,138 $243
2015-08-27 $14,767 $15,015 $248
2015-08-26 $14,303 $14,551 $248
2015-08-25 $13,788 $14,030 $242
2015-08-24 $13,562 $13,804 $242
2015-08-21 $13,421 $13,676 $255
2015-08-20 $13,340 $13,598 $258
2015-08-19 $13,227 $13,483 $256
2015-08-18 $13,021 $13,278 $257
2015-08-17 $13,025 $13,273 $248
2015-08-14 $12,948 $13,201 $253
2015-08-13 $13,016 $13,264 $248
2015-08-12 $12,843 $13,087 $244
2015-08-11 $12,942 $13,192 $250
2015-08-10 $12,839 $13,100 $261
2015-08-07 $12,646 $12,892 $246
2015-08-06 $12,721 $12,973 $252
2015-08-05 $12,645 $12,900 $255
2015-08-04 $12,552 $12,798 $245
2015-08-03 $12,597 $12,834 $237
2015-07-31 $12,429 $12,683 $253
2015-07-30 $12,526 $12,790 $264
2015-07-29 $12,340 $12,590 $250
2015-07-28 $12,302 $12,547 $245
2015-07-27 $12,241 $12,487 $246
2015-07-24 $12,117 $12,375 $258
2015-07-23 $12,287 $12,539 $252
2015-07-22 $12,392 $12,649 $257
2015-07-21 $12,440 $12,688 $248
2015-07-20 $12,535 $12,792 $257
2015-07-17 $12,459 $12,702 $243
2015-07-16 $12,533 $12,785 $252
2015-07-15 $12,441 $12,689 $248
2015-07-14 $12,291 $12,547 $256
2015-07-13 $12,241 $12,500 $259
2015-07-10 $12,286 $12,528 $241
2015-07-09 $11,742 $11,982 $240
2015-07-08 $11,680 $11,918 $238
2015-07-07 $11,466 $11,724 $258
2015-07-06 $11,198 $11,450 $252
2015-07-03 $11,025 $11,283 $258
2015-07-01 $10,643 $10,900 $257
2015-06-30 $10,610 $10,855 $244
2015-06-29 $10,489 $10,746 $257
2015-06-26 $10,263 $10,527 $264
2015-06-25 $10,403 $10,649 $246
2015-06-24 $10,469 $10,718 $248
2015-06-23 $10,290 $10,543 $253
2015-06-22 $10,317 $10,565 $248
2015-06-19 $10,308 $10,550 $243
2015-06-18 $10,391 $10,645 $255
2015-06-17 $10,405 $10,657 $252
2015-06-16 $10,443 $10,698 $255
2015-06-15 $10,542 $10,797 $254
2015-06-12 $10,397 $10,651 $254
2015-06-11 $10,386 $10,634 $248
2015-06-10 $10,635 $10,893 $257
2015-06-09 $10,586 $10,834 $248
2015-06-08 $10,531 $10,778 $247
2015-06-05 $10,393 $10,647 $253
2015-06-04 $10,416 $10,659 $244
2015-06-03 $10,420 $10,674 $253
2015-06-02 $10,500 $10,744 $243
2015-06-01 $10,475 $10,721 $246
2015-05-29 $10,355 $10,599 $244
2015-05-28 $10,383 $10,636 $253
2015-05-27 $10,640 $10,893 $253
2015-05-26 $10,697 $10,947 $250
2015-05-25 $10,686 $10,941 $255
2015-05-21 $10,698 $10,944 $245
2015-05-20 $10,861 $11,116 $255
2015-05-19 $10,902 $11,158 $255
2015-05-18 $10,863 $11,107 $244
2015-05-15 $10,752 $10,994 $242
2015-05-14 $10,810 $11,066 $256
2015-05-13 $10,944 $11,201 $257
2015-05-12 $10,800 $11,050 $250
2015-05-11 $10,657 $10,911 $254
2015-05-08 $10,698 $10,938 $239
2015-05-07 $10,618 $10,876 $258
2015-05-06 $10,407 $10,661 $254
2015-05-05 $10,737 $10,983 $246
2015-05-04 $10,389 $10,635 $246
2015-05-01 $10,636 $10,884 $248
2015-04-30 $10,703 $10,946 $243
2015-04-29 $10,528 $10,779 $251
2015-04-28 $10,444 $10,693 $249
2015-04-27 $10,423 $10,667 $244
2015-04-24 $10,176 $10,425 $249
2015-04-23 $10,478 $10,733 $255
2015-04-22 $10,383 $10,636 $253
2015-04-21 $10,240 $10,484 $244
2015-04-20 $10,175 $10,425 $250
2015-04-17 $10,200 $10,449 $249
2015-04-16 $10,322 $10,570 $248
2015-04-15 $10,362 $10,614 $252
2015-04-14 $10,746 $11,000 $253
2015-04-13 $10,964 $11,218 $253
2015-04-10 $10,823 $11,077 $254
2015-04-09 $10,943 $11,193 $250
2015-04-08 $11,002 $11,248 $246
2015-04-07 $11,123 $11,371 $248
2015-04-06 $11,140 $11,388 $248
2015-04-03 $10,904 $11,150 $246
2015-04-01 $10,757 $11,004 $247
2015-03-31 $10,978 $11,232 $255
2015-03-30 $11,245 $11,501 $256
2015-03-27 $11,095 $11,349 $254
2015-03-26 $11,201 $11,455 $254
2015-03-25 $11,239 $11,483 $244
2015-03-24 $10,996 $11,239 $244
2015-03-23 $11,009 $11,263 $254
2015-03-20 $10,794 $11,048 $253
2015-03-19 $10,806 $11,064 $258
2015-03-18 $10,854 $11,099 $245
2015-03-17 $11,058 $11,329 $271
2015-03-16 $10,970 $11,220 $250
2015-03-13 $11,061 $11,315 $255
2015-03-12 $11,030 $11,292 $262
2015-03-11 $11,214 $11,466 $252
2015-03-10 $11,189 $11,439 $251
2015-03-09 $11,054 $11,313 $259
2015-03-06 $11,026 $11,284 $258
2015-03-05 $10,974 $11,203 $229
2015-03-04 $10,832 $11,085 $253
2015-03-03 $10,787 $11,040 $254
2015-03-02 $10,936 $11,182 $245
2015-02-27 $10,883 $11,121 $237
2015-02-26 $10,902 $11,158 $256
2015-02-25 $10,778 $11,015 $237
2015-02-24 $10,670 $10,921 $252
2015-02-23 $10,755 $11,018 $263
2015-02-20 $10,557 $10,815 $258
2015-02-19 $10,626 $10,874 $249

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
2016-02-19 301 101
2016-02-18 307 94
2016-02-17 308 101
2016-02-16 300 103
2016-02-15 291 106
2016-02-12 291 93
2016-02-11 283 101
2016-02-10 290 106
2016-02-09 284 107
2016-02-08 291 101
2016-02-05 302 101
2016-02-04 327 95
2016-02-03 322 93
2016-02-02 310 98
2016-02-01 324 91
2016-01-29 308 87
2016-01-28 292 94
2016-01-27 292 90
2016-01-26 292 81
2016-01-25 282 82
2016-01-22 290 81
2016-01-21 286 82
2016-01-20 275 83
2016-01-19 287 64
2016-01-18 278 82
2016-01-15 276 86
2016-01-14 298 94
2016-01-13 279 88
2016-01-12 292 94
2016-01-11 285 98
2016-01-08 280 99
2016-01-07 292 95
2016-01-06 298 90
2016-01-05 305 87
2016-01-04 308 86
2015-12-31 314 82
2015-12-30 327 83
2015-12-29 326 76
2015-12-28 318 75
2015-12-25 N/A 67
2015-12-24 319 68
2015-12-23 317 71
2015-12-22 309 72
2015-12-21 307 71
2015-12-18 300 76
2015-12-17 306 79
2015-12-16 329 66
2015-12-15 322 72
2015-12-14 324 85
2015-12-11 317 88
2015-12-10 332 80
2015-12-09 334 79
2015-12-08 337 82
2015-12-07 339 82
2015-12-04 340 89
2015-12-03 348 86
2015-12-02 324 78
2015-12-01 324 85
2015-11-30 320 84
2015-11-27 320 80
2015-11-26 N/A 87
2015-11-25 322 88
2015-11-24 332 84
2015-11-23 326 78
2015-11-20 329 81
2015-11-19 327 82
2015-11-18 322 84
2015-11-17 320 84
2015-11-16 315 89
2015-11-13 314 89
2015-11-12 323 84
2015-11-11 320 91
2015-11-10 318 89
2015-11-09 321 89
2015-11-06 320 83
2015-11-05 331 79
2015-11-04 333 81
2015-11-03 341 81
2015-11-02 340 80
2015-10-30 343 71
2015-10-29 334 79
2015-10-28 335 79
2015-10-27 329 74
2015-10-26 329 75
2015-10-23 332 73
2015-10-22 335 78
2015-10-21 347 81
2015-10-20 350 75
2015-10-19 347 82
2015-10-16 352 87
2015-10-15 350 89
2015-10-14 359 86
2015-10-13 358 81
2015-10-12 351 79
2015-10-09 355 83
2015-10-08 356 81
2015-10-07 344 72
2015-10-06 339 71
2015-10-05 332 70
2015-10-02 330 70
2015-10-01 328 79
2015-09-30 329 84
2015-09-29 321 87
2015-09-28 311 87
2015-09-25 323 78
2015-09-24 319 76
2015-09-23 319 81
2015-09-22 313 72
2015-09-21 325 77
2015-09-18 327 82
2015-09-17 342 83
2015-09-16 347 87
2015-09-15 343 84
2015-09-14 339 85
2015-09-11 336 79
2015-09-10 337 80
2015-09-09 317 78
2015-09-08 329 83
2015-09-07 N/A 86
2015-09-04 317 92
2015-09-03 328 96
2015-09-02 334 94
2015-09-01 318 97
2015-08-31 330 85
2015-08-28 339 83
2015-08-27 326 86
2015-08-26 323 91
2015-08-25 313 87
2015-08-24 323 78
2015-08-21 334 79
2015-08-20 337 72
2015-08-19 334 68
2015-08-18 338 55
2015-08-17 327 49
2015-08-14 341 42
2015-08-13 338 40
2015-08-12 340 48
2015-08-11 324 45
2015-08-10 326 57
2015-08-07 315 56
2015-08-06 316 58
2015-08-05 302 61
2015-08-04 295 61
2015-08-03 300 61
2015-07-31 300 53
2015-07-30 295 50
2015-07-29 303 49
2015-07-28 302 51
2015-07-27 297 46
2015-07-24 296 41
2015-07-23 300 40
2015-07-22 304 37
2015-07-21 313 36
2015-07-20 305 38
2015-07-17 303 36
2015-07-16 307 38
2015-07-15 302 41
2015-07-14 312 40
2015-07-13 322 36
2015-07-10 320 38
2015-07-09 302 38
2015-07-08 307 34
2015-07-07 304 28
2015-07-06 314 27
2015-07-03 326 32
2015-07-02 330 30
2015-07-01 336 31
2015-06-30 297 29
2015-06-29 324 30
2015-06-26 306 31
2015-06-25 310 21
2015-06-24 312 19
2015-06-23 312 20
2015-06-22 309 21
2015-06-19 298 22
2015-06-18 308 18
2015-06-17 314 18
2015-06-16 313 19
2015-06-15 333 16
2015-06-12 322 16
2015-06-11 328 15
2015-06-10 344 15
2015-06-09 342 15
2015-06-08 328 15
2015-06-05 333 13
2015-06-04 322 12
2015-06-03 327 13
2015-06-02 334 12
2015-06-01 320 12
2015-05-29 305 13
2015-05-28 311 15
2015-05-27 304 14
2015-05-26 300 13
2015-05-25 N/A 12
2015-05-22 305 13
2015-05-21 323 15
2015-05-20 325 14
2015-05-19 330 12
2015-05-18 321 12
2015-05-15 318 12
2015-05-14 325 15
2015-05-13 335 14
2015-05-12 354 14
2015-05-11 347 16
2015-05-08 350 16
2015-05-07 348 17
2015-05-06 357 14
2015-05-05 361 17
2015-05-04 352 18
2015-05-01 366 18
2015-04-30 368 20
2015-04-29 361 23
2015-04-28 352 23
2015-04-27 347 21
2015-04-24 350 7
2015-04-23 354 7
2015-04-22 342 5
2015-04-21 342 5
2015-04-20 349 6
2015-04-17 331 6
2015-04-16 340 8
2015-04-15 330 11
2015-04-14 335 10
2015-04-13 330 10
2015-04-10 332 11
2015-04-09 334 11
2015-04-08 341 13
2015-04-07 345 19
2015-04-06 349 18
2015-04-03 345 18
2015-04-02 350 18
2015-04-01 337 18
2015-03-31 342 22
2015-03-30 336 26
2015-03-27 337 26
2015-03-26 341 26
2015-03-25 336 25
2015-03-24 329 27
2015-03-23 330 26
2015-03-20 326 24
2015-03-19 316 25
2015-03-18 292 27
2015-03-17 288 31
2015-03-16 290 33
2015-03-13 283 34
2015-03-12 291 37
2015-03-11 291 35
2015-03-10 281 33
2015-03-09 280 36
2015-03-06 282 35
2015-03-05 302 36
2015-03-04 304 39
2015-03-03 309 36
2015-03-02 317 30
2015-02-27 311 29
2015-02-26 312 28
2015-02-25 326 30
2015-02-24 314 33
2015-02-23 308 32
2015-02-20 319 18
2015-02-19 324 19

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
2015-12 $22 $1,115 1.99%
2015-11 $21 $1,207 1.75%
2015-10 $18 $1,150 1.54%
2015-09 $24 $1,140 2.13%
2015-08 $27 $1,141 2.33%
2015-07 $21 $1,283 1.64%
2015-06 $12 $1,229 0.99%
2015-05 $25 $1,478 1.72%
2015-04 $24 $1,382 1.76%
2015-03 $20 $1,232 1.61%
2015-02 $20 $1,209 1.67%
2015-01 $40 $1,141 3.49%

The below table provides IB's leveraged portion of forex liabilities owed to customers.

All $s in millions.

Date Customer ECP Non Affiliates ECP Affiliates
2016-02-19 $34 $18 $11
2016-02-18 $33 $18 $10
2016-02-17 $35 $16 $6
2016-02-16 $35 $17 $6
2016-02-15 $37 $19 $7
2016-02-12 $32 $17 $9
2016-02-11 $35 $21 $8
2016-02-10 $39 $20 $8
2016-02-09 $40 $18 $6
2016-02-08 $40 $18 $9
2016-02-05 $38 $21 $3
2016-02-04 $42 $21 $3
2016-02-03 $44 $21 $6
2016-02-02 $43 $19 $5
2016-02-01 $43 $18 $4
2016-01-29 $37 $17 $1
2016-01-28 $39 $20 $7
2016-01-27 $38 $20 $9
2016-01-26 $40 $21 $6
2016-01-25 $43 $19 $7
2016-01-22 $40 $20 $7
2016-01-21 $43 $25 $5
2016-01-20 $45 $28 $6
2016-01-19 $44 $24 $3
2016-01-18 $46 $25 $4
2016-01-15 $46 $26 $5
2016-01-14 $50 $30 $4
2016-01-13 $49 $27 $2
2016-01-12 $49 $27 $5
2016-01-11 $49 $31 $6
2016-01-08 $45 $27 $4
2016-01-07 $47 $26 $6
2016-01-06 $47 $25 $3
2016-01-05 $47 $25 $4
2016-01-04 $45 $25 $5
2016-01-01 $44 $22 $3
2015-12-31 $44 $22 $0
2015-12-30 $46 $26 $0
2015-12-29 $45 $26 $0



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.