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Regulatory Information Fields

Refer to the following table when completing the fields on the Regulatory Information worksheet in your Mass Upload Excel workbook.

Field Name Required Documentation
Customer ID Y A unique ID to map customer information from worksheet to worksheet. Use alphanumeric characters only or current account ID at your firm.
Question 1 Y Possible values: YES/NO

Is the account holder or any immediate family member who resides in the same household, registered as a broker-dealer or an employee, director or owner of a securities or commodities brokerage firm?

NOTE: If account holder is employed by a brokerage firm, the compliance officer of that firm must authorize this account by sending an e-mail to Interactive Brokers Processing Department at newaccounts@interactivebrokers.com. The compliance officer should note "Employee Account Authorization" in the subject heading of the e-mail. The e-mail must state the following:

"Interactive Brokers is authorized to establish and maintain an account for [Fill in Customer name]. [Fill in Name of Brokerage Firm] agrees to accept copies of daily confirmations and monthly statements by email to [Fill in E-mail Address]."

If answer to question 1 is “YES”, specify:
  • Person’s Name
  • Relation to Account Holder(s)
  • Brokerage Firm Name
  • Brokerage Firm Address
  • Brokerage Firm Phone
Question 2 Y Possible values: YES/NO

Is the account holder a member of an exchange or a regulatory or a self-regulatory organization, or an associated person, affiliated person or employee of an exchange member?

If answer to question 2 is “YES”, specify:

List firm and Exchanges Y

Question 3 Y Possible values: YES/NO

Has the account holder ever been the subject of, or initiated, litigation, arbitration or any other type of dispute or settlement procedure with another broker or dealer?

If answer to question 3 is “YES”, specify:

Details, including the disposition of the litigation, arbitration or procedure.

Question 4 Y Has the account holder ever been the subject of an investigation or proceeding by any commodities or securities exchange or regulatory authority or self-regulatory authority?
If answer to question 4 is “YES”, specify:

Details, including the disposition of the investigation or proceeding

Question 5 Y Is the account holder: i) a director; ii) a 10% shareholder; or iii) a policy-making officer of any publicly traded company?
If answer to question 5 is “YES”, specify:

Enter the stock symbol(s) of the company(ies), separated by commas.

 

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