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
2019-10 $5,654 $5,190 $5,179 $4,742
2019-09 $5,776 $5,403 $5,386 $4,964
2019-08 $5,940 $5,595 $5,578 $5,144
2019-07 $5,836 $5,419 $5,400 $4,958
2019-06 $5,741 $5,457 $5,433 $5,009
2019-05 $5,668 $5,225 $5,201 $4,770
2019-04 $5,569 $5,169 $5,137 $4,676
2019-03 $5,485 $5,117 $5,078 $4,633
2019-02 $5,398 $5,107 $5,070 $4,598
2019-01 $5,351 $5,050 $5,012 $4,602
2018-12 $5,261 $4,899 $4,882 $4,467
2018-11 $5,177 $4,886 $4,868 $4,418

IB Annual Financial Statements

IB Canada Annual Financial Statement

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
2019-12-04 $4,061 $4,293 $232
2019-12-03 $4,087 $4,289 $201
2019-12-02 $4,032 $4,231 $199
2019-11-29 $4,012 $4,214 $201
2019-11-28 $4,030 $4,227 $198
2019-11-27 $4,025 $4,226 $202
2019-11-26 $4,043 $4,243 $200
2019-11-25 $4,030 $4,232 $203
2019-11-22 $4,044 $4,249 $205
2019-11-21 $4,062 $4,284 $222
2019-11-20 $4,090 $4,300 $210
2019-11-19 $4,084 $4,284 $200
2019-11-18 $4,049 $4,250 $201
2019-11-15 $4,066 $4,267 $201
2019-11-14 $4,059 $4,278 $219
2019-11-13 $4,068 $4,278 $211
2019-11-12 $4,061 $4,263 $202
2019-11-11 $4,054 $4,270 $215
2019-11-08 $4,071 $4,282 $211
2019-11-07 $4,087 $4,304 $217
2019-11-06 $4,151 $4,384 $233
2019-11-05 $4,192 $4,393 $202
2019-11-04 $4,204 $4,406 $202
2019-11-01 $4,206 $4,407 $201
2019-10-31 $4,162 $4,365 $204
2019-10-30 $4,110 $4,311 $201
2019-10-29 $4,093 $4,294 $200
2019-10-28 $4,073 $4,277 $204
2019-10-25 $4,075 $4,280 $204
2019-10-24 $4,079 $4,282 $203
2019-10-23 $4,067 $4,272 $205
2019-10-22 $4,057 $4,257 $201
2019-10-21 $4,025 $4,226 $201
2019-10-18 $4,054 $4,271 $217
2019-10-17 $4,055 $4,281 $226
2019-10-16 $4,074 $4,304 $231
2019-10-15 $4,089 $4,284 $195
2019-10-14 $4,126 $4,321 $195
2019-10-11 $4,105 $4,302 $197
2019-10-10 $4,107 $4,309 $202
2019-10-09 $4,124 $4,341 $218
2019-10-08 $4,134 $4,338 $204
2019-10-07 $4,101 $4,296 $196
2019-10-04 $4,109 $4,331 $222
2019-10-03 $4,159 $4,370 $211
2019-10-02 $4,142 $4,342 $201
2019-10-01 $4,116 $4,316 $201
2019-09-30 $4,045 $4,252 $206
2019-09-27 $4,101 $4,310 $210
2019-09-26 $4,132 $4,333 $201
2019-09-25 $4,120 $4,321 $202
2019-09-24 $4,153 $4,354 $200
2019-09-23 $4,154 $4,382 $228
2019-09-20 $4,129 $4,343 $214
2019-09-19 $4,135 $4,336 $201
2019-09-18 $4,128 $4,330 $202
2019-09-17 $4,135 $4,345 $211
2019-09-16 $4,168 $4,376 $208
2019-09-13 $4,098 $4,291 $193
2019-09-12 $4,099 $4,299 $200
2019-09-11 $4,071 $4,279 $208
2019-09-10 $4,102 $4,302 $200
2019-09-09 $4,105 $4,320 $215
2019-09-06 $4,127 $4,328 $201
2019-09-05 $4,136 $4,337 $201
2019-09-04 $4,208 $4,428 $220
2019-09-03 $4,209 $4,409 $200
2019-09-02 $4,098 $4,333 $235
2019-08-30 $4,103 $4,335 $232
2019-08-29 $4,140 $4,366 $227
2019-08-28 $4,190 $4,428 $238
2019-08-27 $4,208 $4,410 $201
2019-08-26 $4,148 $4,365 $217
2019-08-23 $4,146 $4,347 $201
2019-08-22 $4,066 $4,266 $201
2019-08-21 $4,056 $4,263 $207
2019-08-20 $4,090 $4,302 $211
2019-08-19 $4,075 $4,299 $224
2019-08-16 $4,106 $4,331 $225
2019-08-15 $4,143 $4,343 $200
2019-08-14 $4,137 $4,338 $201
2019-08-13 $4,070 $4,272 $201
2019-08-12 $4,110 $4,323 $212
2019-08-09 $4,120 $4,319 $200
2019-08-08 $4,095 $4,308 $213
2019-08-07 $4,131 $4,336 $205
2019-08-06 $4,084 $4,294 $210
2019-08-05 $4,099 $4,305 $206
2019-08-02 $4,003 $4,208 $205
2019-08-01 $3,992 $4,192 $200
2019-07-31 $3,978 $4,187 $209
2019-07-30 $3,935 $4,138 $203
2019-07-29 $3,924 $4,125 $201
2019-07-26 $3,937 $4,145 $209
2019-07-25 $3,957 $4,158 $201
2019-07-24 $3,965 $4,165 $201
2019-07-23 $3,983 $4,186 $203
2019-07-22 $3,980 $4,181 $201
2019-07-19 $3,978 $4,180 $202
2019-07-18 $3,956 $4,172 $216
2019-07-17 $3,954 $4,150 $195
2019-07-16 $3,891 $4,092 $201
2019-07-15 $3,885 $4,092 $207
2019-07-12 $3,890 $4,091 $201
2019-07-11 $3,878 $4,112 $234
2019-07-10 $3,928 $4,171 $243
2019-07-09 $3,934 $4,135 $201
2019-07-08 $3,912 $4,112 $201
2019-07-05 $3,895 $4,097 $202
2019-07-04 $3,921 $4,146 $225
2019-07-03 $3,940 $4,148 $208
2019-07-02 $3,925 $4,126 $201
2019-07-01 $3,912 $4,116 $204
2019-06-28 $3,938 $4,142 $204
2019-06-27 $3,934 $4,158 $224
2019-06-26 $3,988 $4,198 $210
2019-06-25 $3,962 $4,164 $202
2019-06-24 $3,912 $4,113 $201
2019-06-21 $3,887 $4,087 $200
2019-06-20 $3,870 $4,071 $201
2019-06-19 $3,786 $3,996 $210
2019-06-18 $3,797 $3,998 $201
2019-06-17 $3,798 $4,001 $204
2019-06-14 $3,782 $3,984 $202
2019-06-13 $3,783 $3,988 $204
2019-06-12 $3,774 $3,976 $202
2019-06-11 $3,788 $3,990 $201
2019-06-10 $3,781 $4,005 $224
2019-06-07 $3,782 $3,986 $205
2019-06-06 $3,787 $3,989 $202
2019-06-05 $3,791 $3,996 $205
2019-06-04 $3,845 $4,045 $201
2019-06-03 $3,840 $4,057 $217
2019-05-31 $3,832 $4,032 $200
2019-05-30 $3,798 $3,999 $201
2019-05-29 $3,804 $4,008 $203
2019-05-28 $3,781 $3,984 $203
2019-05-27 $3,760 $3,980 $220
2019-05-24 $3,754 $3,977 $222
2019-05-23 $3,777 $3,978 $201
2019-05-22 $3,732 $3,933 $201
2019-05-21 $3,747 $3,951 $203
2019-05-20 $3,755 $3,978 $222
2019-05-17 $3,748 $3,957 $208
2019-05-16 $3,744 $3,987 $242
2019-05-15 $3,772 $3,987 $214
2019-05-14 $3,780 $3,995 $215
2019-05-13 $3,770 $3,972 $202
2019-05-10 $3,706 $3,931 $226
2019-05-09 $3,717 $3,918 $202
2019-05-08 $3,679 $3,906 $227
2019-05-07 $3,696 $3,897 $201
2019-05-06 $3,666 $3,869 $202
2019-05-03 $3,657 $3,857 $200
2019-05-02 $3,654 $3,864 $210
2019-05-01 $3,697 $3,898 $202
2019-04-30 $3,670 $3,875 $205
2019-04-29 $3,663 $3,869 $206
2019-04-26 $3,679 $3,879 $200
2019-04-25 $3,688 $3,889 $201
2019-04-24 $3,699 $3,902 $203
2019-04-23 $3,696 $3,921 $225
2019-04-22 $3,740 $3,943 $203
2019-04-19 $3,697 $3,912 $215
2019-04-18 $3,710 $3,916 $206
2019-04-17 $3,711 $3,916 $205
2019-04-16 $3,716 $3,917 $201
2019-04-15 $3,728 $3,933 $205
2019-04-12 $3,727 $3,940 $213
2019-04-11 $3,734 $3,940 $205
2019-04-10 $3,778 $3,978 $201
2019-04-09 $3,716 $3,929 $213
2019-04-08 $3,732 $3,932 $201
2019-04-05 $3,717 $3,925 $208
2019-04-04 $3,730 $3,954 $224
2019-04-03 $3,727 $3,932 $206
2019-04-02 $3,707 $3,917 $210
2019-04-01 $3,694 $3,896 $202
2019-03-29 $3,704 $3,903 $198
2019-03-28 $3,688 $3,890 $202
2019-03-27 $3,715 $3,924 $209
2019-03-26 $3,726 $3,928 $202
2019-03-25 $3,722 $3,929 $207
2019-03-22 $3,723 $3,923 $200
2019-03-21 $3,701 $3,903 $203
2019-03-20 $3,700 $3,901 $201
2019-03-19 $3,682 $3,901 $219
2019-03-18 $3,692 $3,911 $219
2019-03-15 $3,712 $3,924 $212
2019-03-14 $3,714 $3,924 $210
2019-03-13 $3,731 $3,940 $209
2019-03-12 $3,725 $3,928 $203
2019-03-11 $3,727 $3,934 $207
2019-03-08 $3,751 $3,961 $210
2019-03-07 $3,742 $3,944 $202
2019-03-06 $3,724 $3,925 $201
2019-03-05 $3,712 $3,927 $215
2019-03-04 $3,715 $3,916 $202
2019-03-01 $3,717 $3,917 $201
2019-02-28 $3,758 $3,981 $223
2019-02-27 $3,769 $3,972 $203
2019-02-26 $3,756 $3,969 $213
2019-02-25 $3,767 $3,967 $199
2019-02-22 $3,787 $3,999 $212
2019-02-21 $3,806 $4,009 $203
2019-02-20 $3,815 $4,017 $202
2019-02-19 $3,796 $3,999 $203
2019-02-18 $3,758 $3,967 $209
2019-02-15 $3,767 $3,966 $199
2019-02-14 $3,762 $3,985 $222
2019-02-13 $3,775 $3,993 $218
2019-02-12 $3,793 $4,030 $237
2019-02-11 $3,828 $4,066 $238
2019-02-08 $3,854 $4,113 $259
2019-02-07 $3,911 $4,113 $202
2019-02-06 $3,846 $4,054 $208
2019-02-05 $3,838 $4,037 $199
2019-02-04 $3,847 $4,053 $206
2019-02-01 $3,856 $4,072 $216
2019-01-31 $3,857 $4,104 $247
2019-01-30 $3,857 $4,057 $200
2019-01-29 $3,868 $4,073 $205
2019-01-28 $3,852 $4,059 $206
2019-01-25 $3,852 $4,049 $198
2019-01-24 $3,846 $4,050 $204
2019-01-23 $3,825 $4,061 $236
2019-01-22 $3,861 $4,073 $212
2019-01-21 $3,849 $4,048 $199
2019-01-18 $3,844 $4,048 $203
2019-01-17 $3,868 $4,067 $199
2019-01-16 $3,863 $4,061 $198
2019-01-15 $3,832 $4,037 $205
2019-01-14 $3,831 $4,048 $217
2019-01-11 $3,845 $4,079 $234
2019-01-10 $3,889 $4,110 $221
2019-01-09 $3,930 $4,130 $200
2019-01-08 $3,879 $4,118 $239
2019-01-07 $3,898 $4,138 $240
2019-01-04 $3,932 $4,155 $223
2019-01-03 $3,924 $4,126 $202
2019-01-02 $3,873 $4,095 $222
2018-12-31 $3,847 $4,063 $215
2018-12-28 $3,843 $4,082 $239
2018-12-27 $3,844 $4,096 $253
2018-12-26 $3,964 $4,185 $221
2018-12-25 $3,746 $3,993 $247
2018-12-24 $3,738 $3,937 $199
2018-12-21 $3,807 $3,996 $189
2018-12-20 $3,863 $4,060 $197
2018-12-19 $3,886 $4,086 $200
2018-12-18 $3,862 $4,062 $200
2018-12-17 $3,905 $4,112 $206
2018-12-14 $3,912 $4,116 $204
2018-12-13 $3,971 $4,170 $199
2018-12-12 $3,935 $4,149 $213
2018-12-11 $3,920 $4,130 $210
2018-12-10 $3,911 $4,114 $203
2018-12-07 $3,934 $4,145 $211
2018-12-06 $3,942 $4,147 $205
2018-12-05 $3,936 $4,134 $198
2018-12-04 $3,938 $4,134 $196

Foreign Secured Amount, pursuant to CFTC regulation 30.7

All $s in millions.

Date Requirement Funds Secured Excess
2019-12-04 $507 $628 $121
2019-12-03 $512 $635 $123
2019-12-02 $514 $635 $121
2019-11-29 $505 $625 $120
2019-11-28 $507 $644 $137
2019-11-27 $505 $630 $124
2019-11-26 $509 $634 $125
2019-11-25 $507 $630 $123
2019-11-22 $507 $627 $121
2019-11-21 $507 $628 $120
2019-11-20 $510 $631 $121
2019-11-19 $512 $634 $122
2019-11-18 $513 $633 $120
2019-11-15 $511 $631 $120
2019-11-14 $510 $631 $121
2019-11-13 $512 $634 $121
2019-11-12 $513 $634 $121
2019-11-11 $509 $644 $135
2019-11-08 $508 $632 $123
2019-11-07 $509 $629 $120
2019-11-06 $504 $624 $120
2019-11-05 $503 $624 $121
2019-11-04 $503 $623 $121
2019-11-01 $501 $624 $123
2019-10-31 $501 $621 $120
2019-10-30 $500 $621 $120
2019-10-29 $500 $620 $120
2019-10-28 $497 $619 $122
2019-10-25 $499 $621 $123
2019-10-24 $502 $628 $125
2019-10-23 $505 $626 $120
2019-10-22 $505 $628 $123
2019-10-21 $505 $629 $124
2019-10-18 $506 $627 $121
2019-10-17 $506 $625 $119
2019-10-16 $506 $627 $121
2019-10-15 $501 $621 $121
2019-10-14 $501 $627 $126
2019-10-11 $501 $620 $119
2019-10-10 $497 $616 $119
2019-10-09 $495 $624 $129
2019-10-08 $501 $625 $125
2019-10-07 $507 $629 $123
2019-10-04 $505 $626 $121
2019-10-03 $500 $624 $124
2019-10-02 $503 $627 $123
2019-10-01 $505 $625 $120
2019-09-30 $506 $630 $123
2019-09-27 $508 $631 $122
2019-09-26 $507 $629 $122
2019-09-25 $507 $636 $129
2019-09-24 $510 $633 $123
2019-09-23 $510 $630 $120
2019-09-20 $507 $627 $121
2019-09-19 $507 $632 $125
2019-09-18 $503 $626 $123
2019-09-17 $505 $625 $121
2019-09-16 $504 $635 $130
2019-09-13 $513 $634 $121
2019-09-12 $511 $631 $120
2019-09-11 $508 $629 $121
2019-09-10 $504 $626 $121
2019-09-09 $508 $631 $123
2019-09-06 $507 $628 $121
2019-09-05 $509 $636 $128
2019-09-04 $508 $626 $119
2019-09-03 $504 $625 $121
2019-09-02 $506 $637 $131
2019-08-30 $504 $631 $127
2019-08-29 $512 $638 $126
2019-08-28 $505 $626 $120
2019-08-27 $504 $625 $121
2019-08-26 $497 $619 $122
2019-08-23 $499 $618 $119
2019-08-22 $496 $616 $120
2019-08-21 $498 $619 $121
2019-08-20 $498 $617 $119
2019-08-19 $495 $618 $123
2019-08-16 $494 $624 $131
2019-08-15 $501 $635 $133
2019-08-14 $496 $620 $124
2019-08-13 $500 $620 $120
2019-08-12 $500 $621 $121
2019-08-09 $499 $639 $140
2019-08-08 $510 $641 $132
2019-08-07 $505 $621 $116
2019-08-06 $495 $615 $120
2019-08-05 $497 $619 $122
2019-08-02 $493 $620 $127
2019-08-01 $485 $609 $124
2019-07-31 $484 $614 $130
2019-07-30 $487 $615 $128
2019-07-29 $486 $608 $121
2019-07-26 $486 $616 $130
2019-07-25 $497 $637 $140
2019-07-24 $502 $622 $120
2019-07-23 $500 $621 $121
2019-07-22 $495 $619 $124
2019-07-19 $494 $618 $124
2019-07-18 $497 $621 $124
2019-07-17 $496 $616 $120
2019-07-16 $496 $619 $123
2019-07-15 $496 $619 $123
2019-07-12 $497 $617 $120
2019-07-11 $496 $617 $121
2019-07-10 $493 $612 $119
2019-07-09 $489 $612 $123
2019-07-08 $495 $620 $125
2019-07-05 $491 $613 $122
2019-07-04 $498 $630 $132
2019-07-03 $504 $625 $121
2019-07-02 $498 $623 $125
2019-07-01 $488 $614 $126
2019-06-28 $488 $609 $121
2019-06-27 $483 $603 $120
2019-06-26 $481 $607 $126
2019-06-25 $485 $607 $123
2019-06-24 $488 $609 $121
2019-06-21 $486 $605 $118
2019-06-20 $489 $612 $123
2019-06-19 $479 $602 $124
2019-06-18 $483 $608 $125
2019-06-17 $468 $590 $122
2019-06-14 $467 $590 $122
2019-06-13 $465 $585 $120
2019-06-12 $463 $586 $123
2019-06-11 $466 $587 $121
2019-06-10 $464 $584 $121
2019-06-07 $459 $583 $123
2019-06-06 $453 $573 $119
2019-06-05 $453 $580 $127
2019-06-04 $455 $579 $125
2019-06-03 $453 $576 $124
2019-05-31 $448 $569 $120
2019-05-30 $447 $571 $124
2019-05-29 $447 $570 $123
2019-05-28 $447 $567 $120
2019-05-27 $445 $566 $121
2019-05-24 $448 $565 $118
2019-05-23 $445 $567 $122
2019-05-22 $444 $566 $122
2019-05-21 $443 $565 $121
2019-05-20 $442 $567 $125
2019-05-17 $444 $575 $131
2019-05-16 $443 $567 $124
2019-05-15 $444 $567 $123
2019-05-14 $442 $565 $123
2019-05-13 $439 $565 $126
2019-05-10 $441 $563 $122
2019-05-09 $439 $558 $119
2019-05-08 $438 $559 $120
2019-05-07 $438 $567 $129
2019-05-06 $440 $563 $123
2019-05-03 $444 $568 $124
2019-05-02 $443 $564 $121
2019-05-01 $446 $571 $124
2019-04-30 $447 $570 $123
2019-04-29 $447 $568 $121
2019-04-26 $446 $566 $121
2019-04-25 $442 $564 $122
2019-04-24 $444 $571 $127
2019-04-23 $444 $568 $124
2019-04-22 $444 $567 $122
2019-04-19 $447 $568 $122
2019-04-18 $447 $571 $124
2019-04-17 $449 $569 $120
2019-04-16 $446 $569 $122
2019-04-15 $444 $565 $121
2019-04-12 $446 $570 $124
2019-04-11 $443 $570 $127
2019-04-10 $446 $569 $124
2019-04-09 $447 $570 $123
2019-04-08 $446 $567 $121
2019-04-05 $441 $563 $122
2019-04-04 $441 $564 $123
2019-04-03 $442 $563 $121
2019-04-02 $441 $562 $121
2019-04-01 $438 $560 $122
2019-03-29 $436 $559 $123
2019-03-28 $433 $555 $122
2019-03-27 $433 $558 $125
2019-03-26 $439 $560 $121
2019-03-25 $442 $570 $128
2019-03-22 $442 $570 $128
2019-03-21 $446 $567 $121
2019-03-20 $444 $577 $134
2019-03-19 $458 $579 $121
2019-03-18 $457 $578 $121
2019-03-15 $454 $580 $126
2019-03-14 $451 $577 $126
2019-03-13 $450 $569 $119
2019-03-12 $449 $571 $122
2019-03-11 $447 $564 $117
2019-03-08 $445 $571 $126
2019-03-07 $445 $571 $126
2019-03-06 $446 $568 $122
2019-03-05 $448 $567 $119
2019-03-04 $445 $569 $124
2019-03-01 $445 $569 $124
2019-02-28 $445 $570 $125
2019-02-27 $443 $561 $118
2019-02-26 $439 $558 $119
2019-02-25 $434 $558 $124
2019-02-22 $431 $550 $119
2019-02-21 $427 $547 $120
2019-02-20 $427 $547 $120
2019-02-19 $426 $547 $120
2019-02-18 $428 $551 $124
2019-02-15 $428 $550 $122
2019-02-14 $425 $544 $119
2019-02-13 $425 $550 $124
2019-02-12 $427 $547 $120
2019-02-11 $427 $558 $130
2019-02-08 $426 $551 $124
2019-02-07 $417 $553 $136
2019-02-06 $417 $548 $131
2019-02-05 $427 $550 $123
2019-02-04 $423 $553 $130
2019-02-01 $433 $562 $128
2019-01-31 $436 $554 $118
2019-01-30 $431 $554 $123
2019-01-29 $431 $553 $122
2019-01-28 $430 $553 $122
2019-01-25 $431 $550 $118
2019-01-24 $428 $557 $128
2019-01-23 $427 $548 $122
2019-01-22 $427 $570 $143
2019-01-21 $436 $563 $127
2019-01-18 $439 $575 $136
2019-01-17 $442 $566 $124
2019-01-16 $442 $580 $139
2019-01-15 $436 $573 $137
2019-01-14 $436 $574 $138
2019-01-11 $451 $595 $144
2019-01-10 $457 $569 $112
2019-01-09 $447 $570 $123
2019-01-08 $446 $568 $122
2019-01-07 $447 $564 $117
2019-01-04 $444 $565 $121
2019-01-03 $439 $560 $121
2019-01-02 $440 $568 $128
2018-12-31 $437 $563 $125
2018-12-28 $441 $578 $137
2018-12-27 $439 $553 $114
2018-12-26 $442 $563 $122
2018-12-25 $444 $572 $128
2018-12-24 $436 $574 $138
2018-12-21 $451 $584 $133
2018-12-20 $455 $572 $118
2018-12-19 $452 $578 $126
2018-12-18 $451 $574 $123
2018-12-17 $452 $584 $132
2018-12-14 $464 $601 $137
2018-12-13 $467 $601 $134
2018-12-12 $459 $576 $117
2018-12-11 $454 $579 $125
2018-12-10 $456 $578 $121
2018-12-07 $457 $582 $125
2018-12-06 $457 $589 $133
2018-12-05 $455 $582 $126
2018-12-04 $454 $583 $128

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
2019-12-03 $17,584 $17,809 $225
2019-12-02 $17,600 $17,904 $305
2019-11-29 $17,572 $17,809 $237
2019-11-28 $17,606 $17,853 $247
2019-11-26 $17,615 $17,848 $234
2019-11-25 $17,728 $17,992 $264
2019-11-22 $17,873 $18,126 $253
2019-11-21 $18,332 $18,577 $245
2019-11-20 $18,133 $18,373 $239
2019-11-19 $18,301 $18,576 $275
2019-11-18 $18,454 $18,714 $261
2019-11-15 $18,433 $18,697 $264
2019-11-14 $18,934 $19,169 $235
2019-11-13 $19,054 $19,337 $283
2019-11-12 $19,296 $19,567 $271
2019-11-11 $19,160 $19,413 $252
2019-11-08 $19,095 $19,723 $628
2019-11-07 $19,473 $19,723 $250
2019-11-06 $19,098 $19,289 $191
2019-11-05 $19,330 $19,605 $274
2019-11-04 $18,969 $19,185 $216
2019-11-01 $18,936 $19,156 $219
2019-10-31 $19,049 $19,288 $239
2019-10-30 $18,770 $19,071 $301
2019-10-29 $18,854 $19,134 $280
2019-10-28 $18,608 $18,863 $256
2019-10-25 $18,692 $18,922 $229
2019-10-24 $18,632 $18,864 $232
2019-10-23 $18,565 $18,815 $250
2019-10-22 $18,561 $18,816 $254
2019-10-21 $18,182 $18,449 $267
2019-10-18 $18,233 $18,461 $228
2019-10-17 $18,244 $18,501 $257
2019-10-16 $18,035 $18,282 $247
2019-10-15 $17,920 $18,190 $270
2019-10-14 $17,631 $17,868 $237
2019-10-11 $17,661 $17,995 $335
2019-10-10 $17,791 $17,995 $205
2019-10-09 $17,697 $17,903 $206
2019-10-08 $17,992 $18,225 $233
2019-10-07 $17,820 $18,086 $266
2019-10-04 $18,027 $18,253 $227
2019-10-03 $18,217 $18,473 $256
2019-10-02 $18,268 $18,563 $295
2019-10-01 $18,455 $18,733 $279
2019-09-30 $18,234 $18,520 $286
2019-09-27 $18,084 $18,346 $262
2019-09-26 $18,035 $18,293 $258
2019-09-25 $18,108 $18,371 $263
2019-09-24 $18,223 $18,434 $211
2019-09-23 $17,804 $18,083 $279
2019-09-20 $17,757 $18,038 $282
2019-09-19 $18,067 $18,343 $275
2019-09-18 $18,235 $18,481 $246
2019-09-17 $18,733 $18,989 $256
2019-09-16 $18,508 $18,781 $273
2019-09-13 $18,398 $18,678 $280
2019-09-12 $18,102 $18,292 $189
2019-09-11 $17,853 $18,099 $246
2019-09-10 $17,984 $18,223 $239
2019-09-09 $17,853 $18,051 $198
2019-09-06 $17,765 $17,983 $218
2019-09-05 $17,685 $17,943 $258
2019-09-04 $18,041 $18,224 $184
2019-09-03 $17,659 $17,925 $267
2019-08-30 $17,303 $17,575 $272
2019-08-29 $17,415 $17,683 $268
2019-08-28 $17,495 $17,729 $234
2019-08-27 $17,692 $17,949 $257
2019-08-26 $17,486 $17,756 $270
2019-08-23 $17,599 $17,844 $245
2019-08-22 $17,584 $17,884 $300
2019-08-21 $17,870 $18,108 $238
2019-08-20 $17,971 $18,198 $227
2019-08-19 $17,435 $17,719 $285
2019-08-16 $17,062 $17,288 $226
2019-08-15 $17,441 $17,686 $245
2019-08-14 $17,294 $17,584 $289
2019-08-13 $17,470 $17,762 $292
2019-08-12 $17,441 $17,661 $220
2019-08-09 $17,639 $17,917 $278
2019-08-08 $17,665 $17,923 $258
2019-08-07 $17,716 $17,956 $240
2019-08-06 $17,262 $17,530 $268
2019-08-05 $17,610 $17,867 $257
2019-08-02 $17,600 $17,914 $314
2019-08-01 $17,784 $18,063 $280
2019-07-31 $17,574 $17,880 $306
2019-07-30 $17,594 $17,852 $258
2019-07-29 $17,307 $17,558 $251
2019-07-26 $17,165 $17,424 $259
2019-07-25 $17,567 $17,817 $250
2019-07-24 $17,299 $17,530 $232
2019-07-23 $17,391 $17,646 $256
2019-07-22 $17,799 $18,042 $244
2019-07-19 $17,805 $18,054 $249
2019-07-18 $17,644 $17,885 $241
2019-07-17 $17,483 $17,754 $270
2019-07-16 $17,368 $17,650 $282
2019-07-15 $17,351 $17,582 $231
2019-07-12 $17,326 $17,604 $278
2019-07-11 $17,429 $17,682 $253
2019-07-10 $17,460 $17,697 $237
2019-07-09 $17,484 $17,759 $275
2019-07-08 $17,406 $17,650 $244
2019-07-05 $17,253 $17,498 $245
2019-07-04 $17,288 $17,483 $195
2019-07-02 $17,571 $17,833 $262
2019-07-01 $17,496 $17,761 $265
2019-06-28 $17,294 $17,553 $258
2019-06-27 $17,526 $17,796 $270
2019-06-26 $16,976 $17,244 $267
2019-06-25 $17,033 $17,261 $227
2019-06-24 $16,044 $16,308 $265
2019-06-21 $16,327 $16,596 $269
2019-06-20 $16,217 $16,447 $229
2019-06-19 $16,098 $16,388 $290
2019-06-18 $16,152 $16,401 $249
2019-06-17 $16,400 $16,664 $264
2019-06-14 $16,250 $16,498 $248
2019-06-13 $16,333 $16,588 $254
2019-06-12 $16,388 $16,654 $266
2019-06-11 $16,425 $16,695 $270
2019-06-10 $16,485 $16,737 $252
2019-06-07 $16,627 $16,854 $227
2019-06-06 $16,692 $16,957 $265
2019-06-05 $16,405 $16,655 $250
2019-06-04 $16,354 $16,623 $269
2019-06-03 $16,059 $16,300 $241
2019-05-31 $15,967 $16,254 $286
2019-05-30 $15,832 $16,155 $323
2019-05-29 $15,897 $16,163 $266
2019-05-28 $15,926 $16,190 $264
2019-05-27 $15,967 $16,240 $273
2019-05-23 $15,833 $16,080 $247
2019-05-22 $15,713 $15,998 $285
2019-05-21 $15,754 $16,023 $269
2019-05-20 $15,808 $16,045 $237
2019-05-17 $15,798 $16,039 $240
2019-05-16 $16,194 $16,446 $252
2019-05-15 $16,133 $16,372 $238
2019-05-14 $16,034 $16,304 $270
2019-05-13 $16,100 $16,344 $244
2019-05-10 $16,234 $16,520 $286
2019-05-09 $16,301 $16,549 $248
2019-05-08 $16,273 $16,538 $265
2019-05-07 $15,861 $16,102 $241
2019-05-06 $15,853 $16,120 $267
2019-05-03 $15,189 $15,456 $266
2019-05-02 $14,975 $15,231 $256
2019-05-01 $15,236 $15,464 $228
2019-04-30 $15,455 $15,697 $243
2019-04-29 $15,271 $15,538 $267
2019-04-26 $15,049 $15,293 $244
2019-04-25 $15,290 $15,556 $266
2019-04-24 $15,067 $15,312 $245
2019-04-23 $15,246 $15,516 $270
2019-04-22 $15,147 $15,409 $261
2019-04-19 $15,191 $15,436 $245
2019-04-17 $15,152 $15,414 $262
2019-04-16 $15,165 $15,418 $253
2019-04-15 $14,720 $14,957 $238
2019-04-12 $15,018 $15,272 $254
2019-04-11 $15,265 $15,486 $222
2019-04-10 $15,101 $15,337 $236
2019-04-09 $15,299 $15,561 $262
2019-04-08 $15,079 $15,342 $263
2019-04-05 $14,944 $15,189 $245
2019-04-04 $15,110 $15,362 $252
2019-04-03 $15,028 $15,286 $258
2019-04-02 $15,417 $15,651 $234
2019-04-01 $15,493 $15,755 $261
2019-03-29 $15,311 $15,525 $213
2019-03-28 $15,465 $15,742 $277
2019-03-27 $15,437 $15,681 $244
2019-03-26 $15,500 $15,790 $290
2019-03-25 $15,315 $15,563 $248
2019-03-22 $15,320 $15,590 $270
2019-03-21 $15,293 $15,590 $297
2019-03-20 $15,656 $15,917 $260
2019-03-19 $15,876 $16,155 $279
2019-03-18 $15,393 $15,640 $246
2019-03-15 $15,497 $15,744 $247
2019-03-14 $15,102 $15,366 $263
2019-03-13 $14,263 $14,511 $248
2019-03-12 $14,616 $14,867 $251
2019-03-11 $14,362 $14,622 $261
2019-03-08 $14,241 $14,489 $248
2019-03-07 $14,248 $14,506 $258
2019-03-06 $14,375 $14,645 $270
2019-03-05 $14,306 $14,575 $270
2019-03-04 $14,701 $14,948 $247
2019-03-01 $15,262 $15,524 $262
2019-02-28 $15,589 $15,821 $232
2019-02-27 $15,218 $15,448 $231
2019-02-26 $15,320 $15,556 $236
2019-02-25 $15,272 $15,538 $266
2019-02-22 $15,267 $15,510 $243
2019-02-21 $15,407 $15,676 $269
2019-02-20 $15,575 $15,809 $234
2019-02-19 $15,298 $15,547 $250
2019-02-18 $15,573 $15,837 $264
2019-02-14 $15,658 $15,897 $239
2019-02-13 $15,607 $15,881 $275
2019-02-12 $15,758 $16,000 $241
2019-02-11 $15,954 $16,197 $242
2019-02-08 $15,954 $16,191 $238
2019-02-07 $16,132 $16,392 $260
2019-02-06 $16,154 $16,421 $267
2019-02-05 $16,286 $16,544 $258
2019-02-04 $16,347 $16,607 $260
2019-02-01 $16,362 $16,598 $236
2019-01-31 $16,324 $16,541 $216
2019-01-30 $16,137 $16,429 $292
2019-01-29 $16,275 $16,541 $266
2019-01-28 $16,188 $16,459 $270
2019-01-25 $16,144 $16,396 $252
2019-01-24 $16,323 $16,557 $234
2019-01-23 $16,359 $16,643 $285
2019-01-22 $15,101 $15,359 $259
2019-01-21 $14,831 $15,101 $270
2019-01-17 $15,291 $15,517 $226
2019-01-16 $15,187 $15,427 $240
2019-01-15 $15,204 $15,452 $248
2019-01-14 $15,212 $15,458 $246
2019-01-11 $15,179 $15,432 $252
2019-01-10 $15,123 $15,407 $284
2019-01-09 $14,851 $15,105 $254
2019-01-08 $13,805 $14,059 $254
2019-01-07 $13,321 $13,554 $233
2019-01-04 $13,350 $13,581 $231
2019-01-03 $13,223 $13,433 $210
2019-01-02 $12,793 $13,091 $298
2018-12-31 $12,580 $12,845 $265
2018-12-28 $12,208 $12,495 $286
2018-12-27 $11,784 $12,063 $279
2018-12-26 $11,775 $12,041 $267
2018-12-25 $11,995 $12,216 $221
2018-12-21 $11,130 $11,400 $269
2018-12-20 $11,290 $11,544 $254
2018-12-19 $10,802 $11,051 $249
2018-12-18 $11,018 $11,279 $261
2018-12-17 $10,983 $11,249 $266
2018-12-14 $10,837 $11,098 $261
2018-12-13 $11,126 $11,388 $261
2018-12-12 $10,967 $11,221 $254
2018-12-11 $10,953 $11,193 $240
2018-12-10 $11,411 $11,652 $241
2018-12-07 $11,778 $12,033 $255
2018-12-06 $11,821 $12,082 $262
2018-12-05 $11,537 $11,804 $267
2018-12-04 $11,415 $11,667 $252

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
2019-12-04 436 40
2019-12-03 438 40
2019-12-02 435 40
2019-11-29 423 40
2019-11-28 407 40
2019-11-27 411 40
2019-11-26 408 40
2019-11-25 412 41
2019-11-22 422 41
2019-11-21 425 41
2019-11-20 424 41
2019-11-19 421 42
2019-11-18 429 42
2019-11-15 427 42
2019-11-14 437 42
2019-11-13 433 42
2019-11-12 431 42
2019-11-11 432 43
2019-11-08 434 42
2019-11-07 432 42
2019-11-06 424 42
2019-11-05 411 42
2019-11-04 412 41
2019-11-01 420 42
2019-10-31 443 41
2019-10-30 443 42
2019-10-29 444 41
2019-10-28 453 42
2019-10-25 458 42
2019-10-24 466 42
2019-10-23 473 43
2019-10-22 478 43
2019-10-21 482 43
2019-10-18 483 43
2019-10-17 489 43
2019-10-16 475 43
2019-10-15 464 43
2019-10-14 464 43
2019-10-11 466 44
2019-10-10 470 43
2019-10-09 470 43
2019-10-08 466 42
2019-10-07 463 40
2019-10-04 464 40
2019-10-03 456 42
2019-10-02 462 42
2019-10-01 459 40
2019-09-30 462 40
2019-09-27 456 40
2019-09-26 449 42
2019-09-25 452 41
2019-09-24 459 41
2019-09-23 444 41
2019-09-20 443 41
2019-09-19 440 41
2019-09-18 438 42
2019-09-17 444 42
2019-09-16 429 42
2019-09-13 438 43
2019-09-12 445 43
2019-09-11 456 45
2019-09-10 451 46
2019-09-09 451 45
2019-09-06 446 45
2019-09-05 455 45
2019-09-04 450 46
2019-09-03 449 45
2019-09-02 455 46
2019-08-30 461 46
2019-08-29 448 44
2019-08-28 443 45
2019-08-27 440 45
2019-08-26 451 46
2019-08-23 454 46
2019-08-22 447 47
2019-08-21 451 47
2019-08-20 447 46
2019-08-19 443 48
2019-08-16 440 49
2019-08-15 438 46
2019-08-14 441 47
2019-08-13 448 46
2019-08-12 441 46
2019-08-09 437 46
2019-08-08 446 44
2019-08-07 445 44
2019-08-06 447 48
2019-08-05 437 47
2019-08-02 451 47
2019-08-01 439 48
2019-07-31 440 47
2019-07-30 439 47
2019-07-29 440 46
2019-07-26 437 47
2019-07-25 440 44
2019-07-24 439 42
2019-07-23 439 43
2019-07-22 447 44
2019-07-19 461 44
2019-07-18 467 44
2019-07-17 464 44
2019-07-16 473 44
2019-07-15 477 43
2019-07-12 474 44
2019-07-11 480 44
2019-07-10 462 45
2019-07-09 452 44
2019-07-08 454 42
2019-07-05 457 44
2019-07-04 446 42
2019-07-03 448 41
2019-07-02 442 41
2019-07-01 441 43
2019-06-28 438 44
2019-06-27 448 45
2019-06-26 436 46
2019-06-25 435 46
2019-06-24 439 45
2019-06-21 446 47
2019-06-20 453 46
2019-06-19 460 48
2019-06-18 458 47
2019-06-17 465 51
2019-06-14 465 50
2019-06-13 460 52
2019-06-12 468 52
2019-06-11 466 51
2019-06-10 461 52
2019-06-07 464 52
2019-06-06 462 54
2019-06-05 466 55
2019-06-04 464 55
2019-06-03 459 56
2019-05-31 456 58
2019-05-30 471 57
2019-05-29 468 58
2019-05-28 464 57
2019-05-27 462 59
2019-05-24 471 58
2019-05-23 461 59
2019-05-22 465 59
2019-05-21 465 59
2019-05-20 462 59
2019-05-17 457 57
2019-05-16 471 57
2019-05-15 473 56
2019-05-14 473 57
2019-05-13 466 58
2019-05-10 471 58
2019-05-09 466 58
2019-05-08 475 57
2019-05-07 473 57
2019-05-06 470 57
2019-05-03 465 55
2019-05-02 472 56
2019-05-01 455 54
2019-04-30 453 55
2019-04-29 452 55
2019-04-26 455 54
2019-04-25 456 55
2019-04-24 449 55
2019-04-23 443 57
2019-04-22 432 56
2019-04-19 444 56
2019-04-18 446 56
2019-04-17 449 57
2019-04-16 440 58
2019-04-15 438 58
2019-04-12 434 59
2019-04-11 437 59
2019-04-10 436 58
2019-04-09 459 58
2019-04-08 447 58
2019-04-05 448 59
2019-04-04 448 59
2019-04-03 454 61
2019-04-02 449 60
2019-04-01 452 61
2019-03-29 457 61
2019-03-28 472 61
2019-03-27 471 61
2019-03-26 468 60
2019-03-25 475 59
2019-03-22 477 61
2019-03-21 468 61
2019-03-20 469 63
2019-03-19 467 60
2019-03-18 455 59
2019-03-15 451 60
2019-03-14 453 61
2019-03-13 447 61
2019-03-12 449 61
2019-03-11 447 61
2019-03-08 444 64
2019-03-07 437 62
2019-03-06 437 62
2019-03-05 435 63
2019-03-04 437 64
2019-03-01 435 64
2019-02-28 433 63
2019-02-27 428 64
2019-02-26 431 62
2019-02-25 428 63
2019-02-22 423 64
2019-02-21 422 66
2019-02-20 416 65
2019-02-19 421 66
2019-02-18 422 67
2019-02-15 423 67
2019-02-14 431 68
2019-02-13 423 68
2019-02-12 420 68
2019-02-11 412 67
2019-02-08 408 67
2019-02-07 390 71
2019-02-06 410 70
2019-02-05 415 66
2019-02-04 412 69
2019-02-01 414 64
2019-01-31 413 63
2019-01-30 414 67
2019-01-29 410 66
2019-01-28 410 67
2019-01-25 412 66
2019-01-24 410 65
2019-01-23 418 68
2019-01-22 409 67
2019-01-21 395 64
2019-01-18 401 62
2019-01-17 399 60
2019-01-16 403 59
2019-01-15 408 61
2019-01-14 409 62
2019-01-11 406 55
2019-01-10 394 53
2019-01-09 383 58
2019-01-08 395 58
2019-01-07 382 57
2019-01-04 385 58
2019-01-03 374 57
2019-01-02 384 56
2018-12-31 384 57
2018-12-28 387 56
2018-12-27 388 57
2018-12-26 378 54
2018-12-25 370 54
2018-12-24 380 57
2018-12-21 383 54
2018-12-20 391 55
2018-12-19 388 57
2018-12-18 392 56
2018-12-17 388 56
2018-12-14 391 54
2018-12-13 385 56
2018-12-12 397 59
2018-12-11 397 56
2018-12-10 398 54
2018-12-07 401 57
2018-12-06 404 56
2018-12-05 411 56
2018-12-04 411 56

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
2019-10 $5 $1,359 0.39%
2019-09 $6 $1,270 0.47%
2019-08 $6 $1,207 0.51%
2019-07 $6 $1,205 0.47%
2019-06 $5 $1,135 0.48%
2019-05 $6 $1,212 0.52%
2019-04 $5 $1,211 0.43%
2019-03 $5 $1,126 0.48%
2019-02 $5 $1,237 0.38%
2019-01 $5 $1,199 0.43%
2018-12 $5 $1,154 0.47%
2018-11 $7 $1,167 0.56%



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.