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Sample XML Response File

After we retrieve your XML files containing all of your clients' application information from our FTP site, we post encrypted response XML files to the FTP site. The sample files below represent a typical client application XML document and a successful response.

Note: The sample XML shown below is not one of the sample XML files that we provide to you upon approval of the Application XML process. The sample XML and resulting response files are shown here for illustrative purposes only. Also, the samples below use X's In place of actual Account IDs.

Typical Sample XML Document Containing Client Application Information

<?xml version="1.0" encoding="UTF-8" standalone="yes"?>

<Applications xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">

<Application>

<Customer email="jclientman@clientman.com" external_id="ABCD1002" md_status_nonpro="true" type="INDIVIDUAL" prefix="jocmn">

<AccountHolder>

<AccountHolderDetails external_id="ABCD1002AH" same_mail_address="true">

<Name salutation="Mr." first="Joseph" last="Clientman" />

<Gender>Male</Gender>

<DOB>1959-05-15</DOB>

<MaritalStatus>M</MaritalStatus>

<Residence country="United States" city="Tucson" postal_code="85719" street_1="922 E. 8th Street" state="AZ" />

<Phones>

<Phone number="520-555-5555" type="Home" />

</Phones>

<Email email="jclientman@clientman.com" />

<Identification citizenship="United States" SSN="487782464" LegalResidenceCountry="United States" LegalResidenceState="AZ" IssuingCountry="United States" />

<EmploymentType>RETIRED</EmploymentType>

<Ownership percentage="100" />

<Title>Account Holder</Title>

<W9 customer_type="Individual" cert3="true" name="Joseph Clientman" tin="487782464" cert1="true" cert2="true" />

</AccountHolderDetails>

<FinancialInformation net_worth="7" annual_net_income="6" liquid_net_worth="7" total_assets="2000000">

<InvestmentExperience>

<AssetExperience knowledge_level="Limited" years_trading="0" asset_class="FUT" trades_per_year="0" />

<AssetExperience knowledge_level="Good" years_trading="5" asset_class="BOND" trades_per_year="6" />

<AssetExperience knowledge_level="Limited" years_trading="0" asset_class="OPT" trades_per_year="0" />

<AssetExperience knowledge_level="Limited" years_trading="0" asset_class="CASH" trades_per_year="0" />

<AssetExperience knowledge_level="Extensive" years_trading="6" asset_class="STK" trades_per_year="10" />

</InvestmentExperience>

<AdditionalSourceOfIncome>

<SourceOfIncome percentage="100" source_type="INTEREST"/>

</AdditionalSourceOfIncome>

</FinancialInformation>

<RegulatoryInformation>

<RegulatoryDetails status="false" code="AFFILIATION" />

<RegulatoryDetails status="false" code="MEMBERSHIP" />

<RegulatoryDetails status="false" code="DISPUTE" />

<RegulatoryDetails status="false" code="INVESTIGATION" />

<RegulatoryDetails status="false" code="STOCKCONTROL" />

<RegulatoryDetails status="false" code="IBACCOUNTS" />

<RegulatoryDetails status="false" code="CRIMINAL" />

<RegulatoryDetails status="false" code="CFTCREGISTERED" />

<RegulatoryDetails status="false" code="REGULATORYCONTROL" />

<RegulatoryDetails status="false" code="BROKERDEALER" />

<RegulatoryDetails status="false" code="EXCHANGEMEMBERSHIP" />

</RegulatoryInformation>

</AccountHolder>

</Customer>

<Accounts>

<Account base_currency="USD" external_id="ABCD1002AC" multicurrency="false" margin="RegT">

<InvestmentObjectives>

<objective>Trading</objective>

<objective>Growth</objective>

<objective>Income</objective>

</InvestmentObjectives>

<TradingPermissions>

<TradingPermission exchange_group="US-Sec" />

<TradingPermission exchange_group="US-SecOpt" />

<TradingPermission exchange_group="US-Funds" />

<TradingPermission exchange_group="US-BOND" />

<TradingPermission exchange_group="US-MUNIES" />

</TradingPermissions>

<AdvisorWrapFees strategy="AUTOMATED">

<automated_fees_details type="INVOICE_LIMIT_Q" max_fee="15"/>

</AdvisorWrapFees>

<DepositNotification type="CHECK" currency="USD" amount="150000.00">

<CheckDetails routing_number="123456789" acct_number="1234567890"/>

</DepositNotification>

</Account>

</Accounts>

<Users>

<User external_individual_id="ABCD1002AH" external_user_id="ABCD1002USR" prefix="jocmn" />

</Users>

</Application>

</Applications>

Sample Response XML File

<?xml version="1.0" ?>

<Process>

<Execution>

<Execution_Date>2015/11/16 15:58:05</Execution_Date>

<Process_File>Sample_2015-11-16_153023.xml</Process_File>

<Client>IBLLC</Client>

<Client_Master_Acct>FXXXXXXX</Client_Master_Acct>

</Execution>

<Applications>

<Application External_ID="ABCD1002" Status="Success">

<Customer>Joseph Clientman</Customer>

<Users>

<User external_id="ABCD1002USR" password="xxxxxxxx">jocmn841</User>

</Users>

<Accounts>

<Account external_id="ABCD1002AC">UXXXXXXX</Account>

</Accounts>

<Entities>

<Entity external_id="ABCD1002AH">20951330</Entity>

</Entities>

<Pending_Tasks>

<Task Task_Number="87745956" Form_Number="1005" Form_Name="Margin Agreement" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745947" Form_Number="2192" Form_Name="Privacy Statement" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745948" Form_Number="3007" Form_Name="Customer Agreement (v2)" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745949" Form_Number="3024" Form_Name="Forex and Multi-Currency Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745955" Form_Number="3044" Form_Name="US Bond Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745950" Form_Number="3070" Form_Name="Business Continuity Plan Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745951" Form_Number="3071" Form_Name="Day Trading Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745952" Form_Number="3074" Form_Name="Order Routing and Payment for Order Flow Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745963" Form_Number="3076" Form_Name="ISE Disclosure for Option Orders Over 500 Contracts" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745964" Form_Number="3077" Form_Name="Municipal Bond Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745968" Form_Number="4003" Form_Name="OCC Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745953" Form_Number="4016" Form_Name="After-hours Trading Risk Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745941" Form_Number="4035" Form_Name="Mutual Fund Agreement" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745973" Form_Number="4036" Form_Name="Mutual Fund Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745936" Form_Number="6105" Form_Name="Client FA Agreement" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745937" Form_Number="6108" Form_Name="Agreement Limiting Interactive Brokers Liability" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

<Task Task_Number="87745981" Form_Number="9130" Form_Name="US Stock Stop Order Disclosure" Action="to sign" Is_Required_For_Approval="true" Is_Required_For_Trading="false" Is_Online_Task="true"></Task>

</Pending_Tasks>

</Application>

</Applications>

</Process>