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
2021-08 $6,231 $5,380 $5,379 $4,466
2021-07 $6,172 $5,249 $5,248 $4,349
2021-06 $6,054 $4,833 $4,831 $3,919
2021-05 $5,976 $5,366 $5,363 $4,527
2021-04 $5,860 $5,089 $5,085 $4,265
2021-03 $5,793 $5,215 $5,211 $4,457
2021-02 $5,761 $4,970 $4,969 $4,198
2021-01 $5,752 $4,563 $4,561 $3,816
2020-12 $5,648 $5,124 $5,122 $4,448
2020-11 $6,180 $5,576 $5,565 $4,972
2020-10 $6,089 $4,372 $4,363 $3,810
2020-09 $6,001 $4,636 $4,621 $4,101

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
2021-10-18 $7,607 $7,816 $209
2021-10-15 $7,657 $7,875 $218
2021-10-14 $7,597 $7,853 $256
2021-10-13 $7,585 $7,796 $211
2021-10-12 $7,555 $7,759 $204
2021-10-11 $7,555 $7,765 $210
2021-10-08 $7,512 $7,715 $203
2021-10-07 $7,471 $7,701 $230
2021-10-06 $7,458 $7,659 $202
2021-10-05 $7,427 $7,653 $226
2021-10-04 $7,371 $7,577 $206
2021-10-01 $7,352 $7,574 $222
2021-09-30 $7,286 $7,491 $205
2021-09-29 $7,156 $7,365 $210
2021-09-28 $7,183 $7,399 $215
2021-09-27 $7,172 $7,427 $255
2021-09-24 $7,168 $7,371 $203
2021-09-23 $7,156 $7,356 $201
2021-09-22 $7,078 $7,281 $203
2021-09-21 $6,991 $7,196 $205
2021-09-20 $6,931 $7,133 $202
2021-09-17 $7,004 $7,206 $202
2021-09-16 $7,004 $7,236 $233
2021-09-15 $7,085 $7,332 $246
2021-09-14 $7,073 $7,287 $214
2021-09-13 $7,056 $7,260 $205
2021-09-10 $7,045 $7,259 $213
2021-09-09 $7,060 $7,281 $221
2021-09-08 $7,079 $7,280 $201
2021-09-07 $7,027 $7,248 $221
2021-09-06 $7,108 $7,368 $260
2021-09-03 $7,133 $7,365 $232
2021-09-02 $7,098 $7,298 $200
2021-09-01 $7,021 $7,236 $215
2021-08-31 $7,012 $7,229 $217
2021-08-30 $6,930 $7,185 $255
2021-08-27 $7,004 $7,232 $228
2021-08-26 $6,962 $7,173 $211
2021-08-25 $6,989 $7,194 $204
2021-08-24 $6,983 $7,184 $201
2021-08-23 $6,940 $7,150 $211
2021-08-20 $6,883 $7,089 $206
2021-08-19 $6,834 $7,037 $203
2021-08-18 $6,876 $7,091 $215
2021-08-17 $6,903 $7,106 $203
2021-08-16 $6,937 $7,148 $210
2021-08-13 $6,984 $7,186 $202
2021-08-12 $6,959 $7,171 $212
2021-08-11 $6,991 $7,193 $202
2021-08-10 $6,929 $7,132 $203
2021-08-09 $6,856 $7,059 $204
2021-08-06 $6,850 $7,056 $206
2021-08-05 $6,856 $7,093 $237
2021-08-04 $6,857 $7,099 $242
2021-08-03 $6,880 $7,080 $200
2021-08-02 $6,910 $7,115 $205
2021-07-30 $6,932 $7,145 $213
2021-07-29 $7,047 $7,267 $220
2021-07-28 $6,985 $7,225 $240
2021-07-27 $6,973 $7,192 $219
2021-07-26 $7,055 $7,260 $205
2021-07-23 $6,897 $7,132 $236
2021-07-22 $6,932 $7,198 $267
2021-07-21 $6,946 $7,148 $202
2021-07-20 $6,809 $7,021 $211
2021-07-19 $6,747 $6,951 $204
2021-07-16 $6,862 $7,063 $201
2021-07-15 $6,862 $7,070 $208
2021-07-14 $6,848 $7,058 $210
2021-07-13 $6,836 $7,045 $209
2021-07-12 $6,776 $7,006 $230
2021-07-09 $6,798 $7,022 $224
2021-07-08 $6,735 $6,896 $161
2021-07-07 $6,745 $6,950 $205
2021-07-06 $6,717 $6,924 $207
2021-07-05 $6,802 $7,010 $208
2021-07-02 $6,803 $7,005 $202
2021-07-01 $6,812 $7,015 $203
2021-06-30 $6,828 $7,030 $202
2021-06-29 $6,775 $6,977 $201
2021-06-28 $6,804 $7,015 $211
2021-06-25 $6,797 $7,003 $206
2021-06-24 $6,805 $7,010 $204
2021-06-23 $6,801 $7,005 $205
2021-06-22 $6,718 $6,929 $212
2021-06-21 $6,715 $6,968 $253
2021-06-18 $6,762 $6,969 $207
2021-06-17 $6,708 $6,932 $224
2021-06-16 $7,016 $7,220 $203
2021-06-15 $6,984 $7,184 $200
2021-06-14 $7,038 $7,244 $206
2021-06-11 $7,069 $7,271 $202
2021-06-10 $7,104 $7,306 $202
2021-06-09 $7,089 $7,290 $201
2021-06-08 $7,064 $7,265 $201
2021-06-07 $7,097 $7,325 $228
2021-06-04 $7,110 $7,309 $200
2021-06-03 $7,057 $7,261 $205
2021-06-02 $7,157 $7,382 $225
2021-06-01 $7,169 $7,379 $211
2021-05-31 $7,107 $7,355 $248
2021-05-28 $7,118 $7,352 $234
2021-05-27 $7,159 $7,405 $246
2021-05-26 $7,144 $7,363 $219
2021-05-25 $7,118 $7,340 $222
2021-05-24 $7,157 $7,412 $255
2021-05-21 $7,140 $7,340 $201
2021-05-20 $7,230 $7,451 $220
2021-05-19 $7,250 $7,459 $209
2021-05-18 $7,072 $7,312 $241
2021-05-17 $7,083 $7,286 $204
2021-05-14 $7,030 $7,232 $202
2021-05-13 $6,948 $7,171 $223
2021-05-12 $7,113 $7,318 $205
2021-05-11 $7,146 $7,368 $221
2021-05-10 $7,112 $7,313 $202
2021-05-07 $7,080 $7,308 $228
2021-05-06 $7,015 $7,242 $227
2021-05-05 $6,888 $7,158 $270
2021-05-04 $6,879 $7,080 $201
2021-05-03 $6,877 $7,074 $197
2021-04-30 $6,757 $6,963 $206
2021-04-29 $6,752 $6,965 $213
2021-04-28 $6,782 $7,030 $249
2021-04-27 $6,844 $7,070 $226
2021-04-26 $6,801 $7,069 $268
2021-04-23 $6,768 $6,972 $204
2021-04-22 $6,756 $6,959 $203
2021-04-21 $6,732 $6,933 $201
2021-04-20 $6,671 $6,881 $209
2021-04-19 $6,636 $6,881 $245
2021-04-16 $6,721 $6,947 $226
2021-04-15 $6,754 $6,956 $202
2021-04-14 $6,652 $6,856 $204
2021-04-13 $6,577 $6,785 $208
2021-04-12 $6,487 $6,732 $245
2021-04-09 $6,449 $6,721 $272
2021-04-08 $6,539 $6,741 $201
2021-04-07 $6,491 $6,708 $217
2021-04-06 $6,539 $6,739 $200
2021-04-05 $6,461 $6,684 $223
2021-04-02 $6,429 $6,698 $270
2021-04-01 $6,497 $6,707 $209
2021-03-31 $6,449 $6,652 $203
2021-03-30 $6,361 $6,572 $211
2021-03-29 $6,407 $6,655 $248
2021-03-26 $6,436 $6,648 $212
2021-03-25 $6,345 $6,593 $248
2021-03-24 $6,507 $6,725 $218
2021-03-23 $6,365 $6,621 $256
2021-03-22 $6,456 $6,760 $304
2021-03-19 $6,612 $6,813 $201
2021-03-18 $6,453 $6,656 $202
2021-03-17 $6,500 $6,700 $201
2021-03-16 $6,475 $6,703 $228
2021-03-15 $6,525 $6,775 $250
2021-03-12 $6,564 $6,791 $227
2021-03-11 $6,599 $6,829 $229
2021-03-10 $6,523 $6,794 $271
2021-03-09 $6,575 $6,802 $227
2021-03-08 $6,495 $6,764 $269
2021-03-05 $6,543 $6,784 $241
2021-03-04 $6,506 $6,708 $203
2021-03-03 $6,560 $6,781 $221
2021-03-02 $6,533 $6,790 $256
2021-03-01 $6,541 $6,760 $219
2021-02-26 $6,538 $6,742 $204
2021-02-25 $6,666 $6,868 $202
2021-02-24 $6,629 $6,862 $234
2021-02-23 $6,571 $6,772 $201
2021-02-22 $6,563 $6,760 $197
2021-02-19 $6,432 $6,632 $200
2021-02-18 $6,244 $6,445 $201
2021-02-17 $6,133 $6,336 $203
2021-02-16 $6,060 $6,261 $201
2021-02-15 $5,999 $6,232 $233
2021-02-12 $6,016 $6,229 $213
2021-02-11 $6,006 $6,216 $210
2021-02-10 $5,979 $6,206 $227
2021-02-09 $6,066 $6,307 $241
2021-02-08 $6,041 $6,246 $205
2021-02-05 $5,891 $6,103 $213
2021-02-04 $5,850 $6,052 $201
2021-02-03 $5,885 $6,086 $200
2021-02-02 $5,811 $6,027 $216
2021-02-01 $5,920 $6,169 $249
2021-01-29 $5,834 $6,039 $205
2021-01-28 $5,690 $5,928 $238
2021-01-27 $5,695 $5,897 $201
2021-01-26 $5,698 $5,923 $225
2021-01-25 $5,717 $5,923 $206
2021-01-22 $5,720 $5,922 $202
2021-01-21 $5,766 $5,989 $223
2021-01-20 $5,813 $6,014 $201
2021-01-19 $5,823 $6,036 $213
2021-01-18 $5,819 $6,051 $232
2021-01-15 $5,819 $6,047 $228
2021-01-14 $5,999 $6,372 $372
2021-01-13 $6,035 $6,329 $294
2021-01-12 $6,072 $6,291 $218
2021-01-11 $5,999 $6,144 $145
2021-01-08 $5,975 $6,183 $208
2021-01-07 $6,149 $6,342 $193
2021-01-06 $6,059 $6,258 $199
2021-01-05 $6,088 $6,291 $202
2021-01-04 $5,937 $6,176 $239
2020-12-31 $5,795 $6,051 $256
2020-12-30 $5,835 $6,054 $218
2020-12-29 $5,775 $5,977 $203
2020-12-28 $5,725 $5,964 $239
2020-12-25 $5,609 $5,895 $286
2020-12-24 $5,652 $5,895 $243
2020-12-23 $5,675 $5,874 $199
2020-12-22 $5,633 $5,849 $216
2020-12-21 $5,679 $5,882 $203
2020-12-18 $5,677 $5,901 $224
2020-12-17 $5,697 $5,898 $201
2020-12-16 $5,566 $5,770 $204
2020-12-15 $5,521 $5,736 $215
2020-12-14 $5,483 $5,698 $215
2020-12-11 $5,463 $5,691 $228
2020-12-10 $5,495 $5,695 $200
2020-12-09 $5,462 $5,673 $211
2020-12-08 $5,493 $5,739 $246
2020-12-07 $5,536 $5,796 $259
2020-12-04 $5,553 $5,799 $247
2020-12-03 $5,601 $5,815 $214
2020-12-02 $5,580 $5,781 $201
2020-12-01 $5,548 $5,746 $198
2020-11-30 $5,511 $5,728 $217
2020-11-27 $5,460 $5,707 $247
2020-11-26 $5,486 $5,784 $298
2020-11-25 $5,535 $5,786 $251
2020-11-24 $5,556 $5,755 $198
2020-11-23 $5,506 $5,708 $202
2020-11-20 $5,557 $5,780 $222
2020-11-19 $5,507 $5,770 $263
2020-11-18 $5,594 $5,838 $244
2020-11-17 $5,645 $5,862 $217
2020-11-16 $5,635 $5,834 $199
2020-11-13 $5,550 $5,751 $201
2020-11-12 $5,547 $5,757 $210
2020-11-11 $5,538 $5,859 $321
2020-11-10 $5,579 $5,882 $304
2020-11-09 $5,578 $5,785 $206
2020-11-06 $5,601 $5,840 $239
2020-11-05 $5,638 $5,849 $211
2020-11-04 $5,563 $5,763 $201
2020-11-03 $5,560 $5,774 $214
2020-11-02 $5,548 $5,756 $209
2020-10-30 $5,518 $5,719 $201
2020-10-29 $5,454 $5,656 $202
2020-10-28 $5,474 $5,675 $202
2020-10-27 $5,566 $5,780 $215
2020-10-26 $5,519 $5,721 $202
2020-10-23 $5,489 $5,689 $200
2020-10-22 $5,493 $5,694 $201
2020-10-21 $5,481 $5,680 $199
2020-10-20 $5,447 $5,660 $214
2020-10-19 $5,433 $5,645 $212

Foreign Secured Amount, pursuant to CFTC regulation 30.7

All $s in millions.

Date Requirement Funds Secured Excess
2021-10-18 $517 $638 $121
2021-10-15 $522 $651 $129
2021-10-14 $522 $644 $121
2021-10-13 $520 $641 $121
2021-10-12 $512 $641 $129
2021-10-11 $517 $652 $134
2021-10-08 $518 $646 $128
2021-10-07 $515 $643 $128
2021-10-06 $500 $621 $120
2021-10-05 $497 $625 $128
2021-10-04 $503 $623 $120
2021-10-01 $506 $627 $121
2021-09-30 $510 $647 $137
2021-09-29 $508 $631 $123
2021-09-28 $508 $636 $128
2021-09-27 $510 $637 $127
2021-09-24 $504 $627 $122
2021-09-23 $510 $642 $132
2021-09-22 $499 $626 $128
2021-09-21 $494 $630 $136
2021-09-20 $489 $648 $159
2021-09-17 $505 $636 $131
2021-09-16 $509 $632 $122
2021-09-15 $508 $641 $133
2021-09-14 $513 $635 $122
2021-09-13 $513 $639 $126
2021-09-10 $513 $654 $141
2021-09-09 $509 $633 $125
2021-09-08 $510 $653 $143
2021-09-07 $515 $652 $137
2021-09-06 $517 $637 $121
2021-09-03 $508 $630 $123
2021-09-02 $509 $652 $143
2021-09-01 $503 $623 $120
2021-08-31 $493 $617 $124
2021-08-30 $493 $616 $123
2021-08-27 $491 $614 $123
2021-08-26 $489 $613 $124
2021-08-25 $499 $621 $122
2021-08-24 $498 $626 $128
2021-08-23 $499 $622 $123
2021-08-20 $494 $613 $120
2021-08-19 $499 $622 $123
2021-08-18 $506 $626 $120
2021-08-17 $503 $629 $126
2021-08-16 $506 $638 $132
2021-08-13 $510 $634 $124
2021-08-12 $513 $639 $126
2021-08-11 $516 $649 $133
2021-08-10 $510 $648 $138
2021-08-09 $505 $626 $121
2021-08-06 $501 $622 $122
2021-08-05 $502 $623 $120
2021-08-04 $505 $638 $133
2021-08-03 $505 $628 $122
2021-08-02 $503 $623 $120
2021-07-30 $492 $614 $122
2021-07-29 $503 $626 $123
2021-07-28 $492 $615 $122
2021-07-27 $479 $598 $119
2021-07-26 $489 $608 $119
2021-07-23 $500 $625 $125
2021-07-22 $503 $635 $132
2021-07-21 $505 $627 $122
2021-07-20 $504 $632 $128
2021-07-19 $500 $623 $122
2021-07-16 $501 $621 $120
2021-07-15 $506 $630 $124
2021-07-14 $505 $625 $120
2021-07-13 $501 $623 $121
2021-07-12 $501 $627 $125
2021-07-09 $496 $617 $121
2021-07-08 $493 $613 $120
2021-07-07 $502 $623 $121
2021-07-06 $498 $632 $134
2021-07-05 $507 $630 $122
2021-07-02 $503 $632 $129
2021-07-01 $509 $630 $121
2021-06-30 $510 $635 $125
2021-06-29 $515 $640 $125
2021-06-28 $519 $642 $123
2021-06-25 $524 $649 $124
2021-06-24 $517 $639 $122
2021-06-23 $512 $634 $123
2021-06-22 $511 $631 $120
2021-06-21 $508 $643 $134
2021-06-18 $510 $648 $138
2021-06-17 $516 $645 $129
2021-06-16 $519 $643 $124
2021-06-15 $529 $650 $121
2021-06-14 $530 $653 $123
2021-06-11 $529 $652 $122
2021-06-10 $532 $657 $126
2021-06-09 $530 $650 $120
2021-06-08 $528 $651 $122
2021-06-07 $532 $673 $141
2021-06-04 $534 $659 $126
2021-06-03 $535 $657 $123
2021-06-02 $536 $675 $139
2021-06-01 $538 $659 $121
2021-05-31 $529 $655 $126
2021-05-28 $531 $657 $126
2021-05-27 $528 $666 $138
2021-05-26 $525 $648 $123
2021-05-25 $529 $655 $126
2021-05-24 $515 $643 $128
2021-05-21 $512 $633 $121
2021-05-20 $516 $638 $122
2021-05-19 $511 $647 $136
2021-05-18 $520 $649 $128
2021-05-17 $515 $638 $123
2021-05-14 $513 $639 $125
2021-05-13 $502 $623 $121
2021-05-12 $508 $643 $135
2021-05-11 $506 $629 $123
2021-05-10 $511 $640 $129
2021-05-07 $510 $630 $119
2021-05-06 $504 $629 $124
2021-05-05 $503 $633 $131
2021-05-04 $493 $617 $124
2021-05-03 $493 $627 $133
2021-04-30 $494 $616 $121
2021-04-29 $500 $621 $120
2021-04-28 $496 $618 $121
2021-04-27 $494 $618 $124
2021-04-26 $493 $639 $146
2021-04-23 $494 $616 $122
2021-04-22 $492 $615 $124
2021-04-21 $491 $621 $131
2021-04-20 $490 $644 $154
2021-04-19 $495 $616 $121
2021-04-16 $491 $612 $121
2021-04-15 $487 $611 $124
2021-04-14 $486 $622 $136
2021-04-13 $481 $615 $134
2021-04-12 $479 $613 $134
2021-04-09 $482 $616 $135
2021-04-08 $486 $610 $124
2021-04-07 $483 $616 $133
2021-04-06 $487 $643 $155
2021-04-05 $483 $606 $123
2021-04-02 $484 $607 $122
2021-04-01 $483 $603 $120
2021-03-31 $476 $597 $121
2021-03-30 $480 $604 $124
2021-03-29 $476 $607 $130
2021-03-26 $482 $613 $131
2021-03-25 $474 $595 $121
2021-03-24 $478 $599 $121
2021-03-23 $482 $615 $132
2021-03-22 $488 $613 $124
2021-03-19 $488 $609 $120
2021-03-18 $497 $618 $121
2021-03-17 $494 $625 $132
2021-03-16 $492 $614 $122
2021-03-15 $490 $627 $137
2021-03-12 $490 $613 $122
2021-03-11 $498 $619 $121
2021-03-10 $491 $613 $122
2021-03-09 $491 $616 $125
2021-03-08 $488 $625 $137
2021-03-05 $490 $613 $123
2021-03-04 $494 $619 $125
2021-03-03 $502 $630 $128
2021-03-02 $493 $617 $123
2021-03-01 $500 $633 $133
2021-02-26 $500 $621 $121
2021-02-25 $513 $633 $121
2021-02-24 $507 $640 $133
2021-02-23 $510 $666 $156
2021-02-22 $510 $638 $129
2021-02-19 $513 $652 $140
2021-02-18 $511 $632 $121
2021-02-17 $514 $636 $122
2021-02-16 $516 $646 $130
2021-02-15 $510 $629 $119
2021-02-12 $500 $648 $148
2021-02-11 $500 $623 $122
2021-02-10 $499 $623 $124
2021-02-09 $497 $616 $119
2021-02-08 $495 $625 $131
2021-02-05 $491 $613 $123
2021-02-04 $488 $626 $138
2021-02-03 $490 $617 $127
2021-02-02 $490 $639 $149
2021-02-01 $480 $601 $121
2021-01-29 $473 $593 $120
2021-01-28 $476 $599 $123
2021-01-27 $486 $623 $137
2021-01-26 $491 $629 $138
2021-01-25 $496 $637 $141
2021-01-22 $497 $618 $121
2021-01-21 $502 $638 $136
2021-01-20 $500 $626 $126
2021-01-19 $502 $631 $129
2021-01-18 $501 $639 $137
2021-01-15 $500 $652 $152
2021-01-14 $510 $661 $152
2021-01-13 $517 $689 $172
2021-01-12 $556 $699 $142
2021-01-11 $569 $851 $282
2021-01-08 $584 $730 $146
2021-01-07 $597 $723 $127
2021-01-06 $593 $722 $129
2021-01-05 $582 $701 $120
2021-01-04 $579 $708 $129
2020-12-31 $573 $713 $140
2020-12-30 $576 $704 $129
2020-12-29 $569 $703 $134
2020-12-28 $566 $700 $134
2020-12-25 $555 $698 $143
2020-12-24 $557 $695 $138
2020-12-23 $556 $690 $133
2020-12-22 $554 $693 $139
2020-12-21 $558 $683 $125
2020-12-18 $563 $686 $123
2020-12-17 $573 $692 $120
2020-12-16 $565 $685 $120
2020-12-15 $562 $683 $121
2020-12-14 $559 $687 $128
2020-12-11 $558 $679 $120
2020-12-10 $562 $686 $123
2020-12-09 $561 $681 $120
2020-12-08 $560 $682 $122
2020-12-07 $555 $676 $121
2020-12-04 $559 $683 $124
2020-12-03 $557 $678 $121
2020-12-02 $555 $681 $127
2020-12-01 $562 $689 $128
2020-11-30 $550 $671 $121
2020-11-27 $558 $680 $122
2020-11-26 $551 $675 $124
2020-11-25 $549 $672 $123
2020-11-24 $546 $671 $126
2020-11-23 $540 $666 $126
2020-11-20 $536 $666 $130
2020-11-19 $543 $672 $130
2020-11-18 $548 $695 $147
2020-11-17 $630 $763 $133
2020-11-16 $624 $744 $120
2020-11-13 $613 $742 $129
2020-11-12 $614 $743 $129
2020-11-11 $615 $736 $120
2020-11-10 $612 $734 $122
2020-11-09 $610 $731 $121
2020-11-06 $592 $712 $120
2020-11-05 $590 $713 $123
2020-11-04 $574 $698 $124
2020-11-03 $567 $686 $119
2020-11-02 $553 $683 $130
2020-10-30 $555 $681 $126
2020-10-29 $557 $682 $125
2020-10-28 $555 $688 $132
2020-10-27 $575 $697 $123
2020-10-26 $580 $702 $123
2020-10-23 $585 $707 $122
2020-10-22 $583 $706 $123
2020-10-21 $584 $705 $121
2020-10-20 $586 $709 $123
2020-10-19 $586 $708 $122

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
2021-10-15 $11,280 $11,534 $254
2021-10-14 $11,893 $12,109 $216
2021-10-13 $12,236 $12,503 $266
2021-10-12 $12,210 $12,480 $270
2021-10-11 $12,084 $12,359 $275
2021-10-08 $11,984 $12,616 $633
2021-10-07 $12,382 $12,616 $234
2021-10-06 $12,535 $12,760 $226
2021-10-05 $12,165 $12,422 $257
2021-10-04 $12,797 $13,027 $230
2021-10-01 $13,040 $13,285 $245
2021-09-30 $12,220 $12,493 $272
2021-09-29 $11,612 $11,862 $250
2021-09-28 $11,724 $11,982 $258
2021-09-27 $11,834 $12,057 $223
2021-09-24 $12,082 $12,318 $236
2021-09-23 $12,613 $12,840 $227
2021-09-22 $12,914 $13,109 $195
2021-09-21 $12,103 $12,354 $251
2021-09-20 $11,885 $12,133 $249
2021-09-17 $11,996 $12,276 $280
2021-09-16 $12,451 $12,685 $233
2021-09-15 $11,958 $12,192 $234
2021-09-14 $11,947 $12,187 $240
2021-09-13 $12,355 $12,619 $264
2021-09-10 $12,339 $12,594 $256
2021-09-09 $12,224 $12,465 $241
2021-09-08 $12,418 $12,678 $260
2021-09-07 $12,319 $12,578 $259
2021-09-06 $12,538 $12,779 $241
2021-09-02 $12,280 $12,525 $245
2021-09-01 $12,126 $12,379 $253
2021-08-31 $12,122 $12,373 $251
2021-08-30 $12,167 $12,411 $244
2021-08-27 $11,535 $11,793 $259
2021-08-26 $11,898 $12,162 $264
2021-08-25 $12,115 $12,366 $251
2021-08-24 $12,616 $12,852 $236
2021-08-23 $12,978 $13,217 $239
2021-08-20 $12,398 $12,650 $253
2021-08-19 $12,830 $13,076 $246
2021-08-18 $12,328 $12,583 $254
2021-08-17 $11,964 $12,218 $254
2021-08-16 $12,110 $12,353 $243
2021-08-13 $12,040 $12,302 $262
2021-08-12 $11,958 $12,225 $266
2021-08-11 $11,885 $12,131 $247
2021-08-10 $11,891 $12,145 $254
2021-08-09 $11,808 $12,051 $243
2021-08-06 $11,790 $12,032 $242
2021-08-05 $11,949 $12,178 $229
2021-08-04 $12,184 $12,420 $235
2021-08-03 $12,284 $12,533 $248
2021-08-02 $12,372 $12,625 $253
2021-07-30 $12,460 $12,722 $262
2021-07-29 $12,924 $13,198 $274
2021-07-28 $12,117 $12,361 $244
2021-07-27 $12,011 $12,264 $253
2021-07-26 $11,329 $11,589 $260
2021-07-23 $11,520 $11,767 $248
2021-07-22 $11,807 $12,055 $248
2021-07-21 $12,237 $12,495 $258
2021-07-20 $11,856 $12,103 $247
2021-07-19 $12,152 $12,391 $239
2021-07-16 $12,436 $12,711 $275
2021-07-15 $12,637 $12,887 $250
2021-07-14 $12,663 $12,921 $259
2021-07-13 $12,804 $13,067 $263
2021-07-12 $13,167 $13,403 $236
2021-07-09 $12,829 $13,071 $242
2021-07-08 $12,868 $13,104 $236
2021-07-07 $12,889 $13,149 $260
2021-07-06 $12,903 $13,161 $258
2021-07-05 $13,066 $13,331 $265
2021-07-01 $13,074 $13,334 $260
2021-06-30 $13,168 $13,416 $247
2021-06-29 $12,996 $13,246 $250
2021-06-28 $13,029 $13,279 $250
2021-06-25 $13,202 $13,461 $259
2021-06-24 $13,648 $13,893 $244
2021-06-23 $13,615 $13,864 $249
2021-06-22 $13,824 $14,068 $244
2021-06-21 $13,619 $13,878 $259
2021-06-18 $13,501 $13,749 $248
2021-06-17 $13,512 $13,761 $250
2021-06-16 $13,684 $13,938 $254
2021-06-15 $14,054 $14,279 $225
2021-06-14 $13,693 $13,943 $250
2021-06-11 $13,589 $13,831 $242
2021-06-10 $13,577 $13,823 $245
2021-06-09 $13,464 $13,719 $255
2021-06-08 $13,710 $13,967 $256
2021-06-07 $13,515 $13,772 $256
2021-06-04 $13,974 $14,222 $249
2021-06-03 $14,338 $14,602 $264
2021-06-02 $14,274 $14,513 $239
2021-06-01 $13,674 $13,927 $253
2021-05-31 $13,654 $13,903 $250
2021-05-27 $13,822 $14,074 $252
2021-05-26 $13,592 $13,839 $247
2021-05-25 $13,637 $13,885 $248
2021-05-24 $14,124 $14,382 $257
2021-05-21 $14,691 $14,945 $254
2021-05-20 $14,849 $15,099 $249
2021-05-19 $15,206 $15,465 $260
2021-05-18 $15,723 $15,962 $239
2021-05-17 $16,268 $16,520 $252
2021-05-14 $15,459 $15,708 $249
2021-05-13 $15,355 $15,608 $253
2021-05-12 $15,500 $15,764 $263
2021-05-11 $15,119 $15,350 $231
2021-05-10 $15,309 $15,554 $245
2021-05-07 $15,119 $15,364 $245
2021-05-06 $15,627 $15,884 $257
2021-05-05 $15,390 $15,640 $251
2021-05-04 $15,560 $15,815 $256
2021-05-03 $15,342 $15,597 $255
2021-04-30 $15,200 $15,457 $257
2021-04-29 $15,041 $15,300 $259
2021-04-28 $15,296 $15,544 $248
2021-04-27 $15,553 $15,809 $255
2021-04-26 $15,579 $15,818 $239
2021-04-23 $15,308 $15,555 $247
2021-04-22 $15,767 $16,013 $246
2021-04-21 $15,961 $16,212 $252
2021-04-20 $15,627 $15,877 $250
2021-04-19 $15,184 $15,445 $260
2021-04-16 $15,701 $15,951 $250
2021-04-15 $16,412 $16,653 $241
2021-04-14 $16,831 $17,096 $265
2021-04-13 $16,916 $17,163 $246
2021-04-12 $17,217 $17,483 $266
2021-04-09 $17,829 $18,072 $243
2021-04-08 $18,305 $18,545 $240
2021-04-07 $19,338 $19,601 $263
2021-04-06 $20,280 $20,531 $251
2021-04-05 $20,841 $21,116 $276
2021-04-02 $21,547 $21,810 $263
2021-03-31 $21,618 $21,880 $262
2021-03-30 $22,174 $22,404 $229
2021-03-29 $22,068 $22,306 $238
2021-03-26 $22,224 $22,455 $231
2021-03-25 $21,346 $21,577 $231
2021-03-24 $21,624 $21,875 $251
2021-03-23 $21,509 $21,766 $257
2021-03-22 $21,412 $21,686 $274
2021-03-19 $21,237 $21,501 $264
2021-03-18 $21,719 $21,961 $243
2021-03-17 $22,442 $22,644 $202
2021-03-16 $22,558 $22,820 $263
2021-03-15 $22,900 $23,153 $253
2021-03-12 $23,472 $23,730 $258
2021-03-11 $23,450 $23,644 $194
2021-03-10 $23,687 $23,944 $257
2021-03-09 $23,405 $23,678 $273
2021-03-08 $23,678 $23,963 $286
2021-03-05 $22,953 $23,150 $197
2021-03-04 $23,226 $23,464 $238
2021-03-03 $23,323 $23,534 $211
2021-03-02 $23,341 $23,544 $203
2021-03-01 $22,802 $23,076 $274
2021-02-26 $22,087 $22,365 $278
2021-02-25 $22,755 $23,044 $290
2021-02-24 $22,647 $22,781 $133
2021-02-23 $22,242 $22,475 $233
2021-02-22 $22,167 $22,425 $258
2021-02-19 $22,521 $22,755 $234
2021-02-18 $22,524 $22,764 $240
2021-02-17 $22,870 $23,143 $273
2021-02-16 $21,552 $21,809 $256
2021-02-15 $21,568 $21,784 $216
2021-02-11 $21,733 $21,969 $235
2021-02-10 $21,915 $22,162 $246
2021-02-09 $21,310 $21,572 $262
2021-02-08 $21,792 $22,045 $253
2021-02-05 $22,223 $22,472 $249
2021-02-04 $22,836 $23,077 $241
2021-02-03 $23,207 $23,460 $254
2021-02-02 $23,177 $23,416 $239
2021-02-01 $23,055 $23,294 $239
2021-01-29 $22,857 $23,113 $256
2021-01-28 $22,770 $23,015 $246
2021-01-27 $21,490 $21,727 $237
2021-01-26 $21,720 $21,979 $259
2021-01-25 $21,784 $22,034 $250
2021-01-22 $21,747 $22,013 $266
2021-01-21 $22,524 $22,778 $254
2021-01-20 $23,129 $23,376 $247
2021-01-19 $22,981 $23,233 $252
2021-01-18 $22,961 $23,487 $526
2021-01-14 $24,074 $24,352 $278
2021-01-13 $24,382 $24,622 $240
2021-01-12 $24,687 $24,959 $271
2021-01-11 $25,125 $25,373 $248
2021-01-08 $25,293 $25,527 $233
2021-01-07 $25,294 $25,523 $229
2021-01-06 $25,302 $25,529 $227
2021-01-05 $25,105 $25,303 $198
2021-01-04 $24,761 $24,992 $231
2020-12-31 $24,289 $24,546 $257
2020-12-30 $23,968 $24,222 $253
2020-12-29 $24,280 $24,534 $254
2020-12-28 $24,624 $24,872 $247
2020-12-25 $24,879 $25,134 $255
2020-12-23 $25,325 $25,580 $255
2020-12-22 $25,331 $25,568 $237
2020-12-21 $24,698 $24,961 $263
2020-12-18 $24,997 $25,247 $250
2020-12-17 $25,403 $25,649 $246
2020-12-16 $25,528 $25,770 $242
2020-12-15 $25,621 $25,866 $245
2020-12-14 $25,898 $26,141 $243
2020-12-11 $26,019 $26,268 $250
2020-12-10 $25,736 $26,007 $272
2020-12-09 $25,800 $26,069 $270
2020-12-08 $26,266 $26,500 $234
2020-12-07 $26,375 $26,631 $257
2020-12-04 $26,028 $26,304 $276
2020-12-03 $26,243 $26,467 $224
2020-12-02 $25,988 $26,259 $271
2020-12-01 $26,465 $26,709 $244
2020-11-30 $26,123 $26,326 $204
2020-11-27 $25,889 $26,140 $251
2020-11-26 $26,004 $26,272 $268
2020-11-24 $26,369 $26,619 $250
2020-11-23 $26,267 $26,511 $244
2020-11-20 $26,058 $26,295 $238
2020-11-19 $26,573 $26,835 $262
2020-11-18 $26,415 $26,674 $259
2020-11-17 $26,679 $26,923 $245
2020-11-16 $26,765 $27,038 $272
2020-11-13 $26,649 $26,895 $246
2020-11-12 $27,212 $27,448 $235
2020-11-11 $26,822 $27,124 $302
2020-11-10 $26,600 $26,681 $81
2020-11-09 $26,207 $26,431 $224
2020-11-06 $26,351 $26,545 $195
2020-11-05 $25,643 $25,872 $229
2020-11-04 $25,929 $26,176 $247
2020-11-03 $25,397 $25,705 $308
2020-11-02 $25,043 $25,280 $238
2020-10-30 $24,646 $24,906 $260
2020-10-29 $24,606 $24,806 $200
2020-10-28 $24,536 $24,763 $226
2020-10-27 $24,421 $24,673 $252
2020-10-26 $24,572 $24,833 $260
2020-10-23 $24,488 $24,754 $265
2020-10-22 $24,405 $24,660 $255
2020-10-21 $24,726 $24,956 $230
2020-10-20 $24,791 $25,032 $240
2020-10-19 $24,682 $24,928 $246

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
2021-10-18 249 43
2021-10-15 249 42
2021-10-14 256 42
2021-10-13 245 41
2021-10-12 242 42
2021-10-11 243 41
2021-10-08 247 41
2021-10-07 254 41
2021-10-06 254 44
2021-10-05 254 45
2021-10-04 251 44
2021-10-01 250 43
2021-09-30 251 42
2021-09-29 255 42
2021-09-28 260 41
2021-09-27 262 41
2021-09-24 260 43
2021-09-23 265 42
2021-09-22 269 44
2021-09-21 271 45
2021-09-20 274 46
2021-09-17 269 42
2021-09-16 272 43
2021-09-15 266 43
2021-09-14 266 42
2021-09-13 265 42
2021-09-10 264 41
2021-09-09 263 42
2021-09-08 261 41
2021-09-07 269 41
2021-09-06 264 41
2021-09-03 263 42
2021-09-02 261 42
2021-09-01 270 42
2021-08-31 264 43
2021-08-30 275 42
2021-08-27 266 41
2021-08-26 269 41
2021-08-25 266 41
2021-08-24 272 40
2021-08-23 277 40
2021-08-20 274 40
2021-08-19 279 40
2021-08-18 269 39
2021-08-17 272 39
2021-08-16 266 39
2021-08-13 262 39
2021-08-12 262 38
2021-08-11 262 37
2021-08-10 267 38
2021-08-09 272 39
2021-08-06 272 39
2021-08-05 269 38
2021-08-04 267 38
2021-08-03 261 38
2021-08-02 259 39
2021-07-30 257 40
2021-07-29 248 38
2021-07-28 248 39
2021-07-27 250 41
2021-07-26 242 38
2021-07-23 256 35
2021-07-22 258 35
2021-07-21 256 35
2021-07-20 268 35
2021-07-19 273 36
2021-07-16 256 35
2021-07-15 261 35
2021-07-14 263 35
2021-07-13 265 34
2021-07-12 267 34
2021-07-09 263 34
2021-07-08 269 35
2021-07-07 265 33
2021-07-06 268 33
2021-07-05 256 31
2021-07-02 257 31
2021-07-01 255 31
2021-06-30 251 32
2021-06-29 255 31
2021-06-28 255 31
2021-06-25 255 31
2021-06-24 263 32
2021-06-23 260 32
2021-06-22 264 32
2021-06-21 266 32
2021-06-18 259 32
2021-06-17 268 31
2021-06-16 240 32
2021-06-15 239 31
2021-06-14 235 31
2021-06-11 233 31
2021-06-10 233 31
2021-06-09 234 31
2021-06-08 236 31
2021-06-07 232 31
2021-06-04 232 31
2021-06-03 236 31
2021-06-02 229 31
2021-06-01 228 31
2021-05-31 229 31
2021-05-28 232 30
2021-05-27 234 30
2021-05-26 238 30
2021-05-25 242 30
2021-05-24 238 31
2021-05-21 236 32
2021-05-20 232 32
2021-05-19 229 32
2021-05-18 249 32
2021-05-17 250 32
2021-05-14 254 33
2021-05-13 257 34
2021-05-12 246 34
2021-05-11 241 34
2021-05-10 242 33
2021-05-07 245 33
2021-05-06 246 32
2021-05-05 255 32
2021-05-04 258 33
2021-05-03 253 33
2021-04-30 262 32
2021-04-29 263 31
2021-04-28 259 31
2021-04-27 254 32
2021-04-26 257 32
2021-04-23 261 31
2021-04-22 263 31
2021-04-21 265 31
2021-04-20 263 32
2021-04-19 265 32
2021-04-16 256 32
2021-04-15 256 33
2021-04-14 261 32
2021-04-13 266 32
2021-04-12 271 33
2021-04-09 280 32
2021-04-08 268 31
2021-04-07 267 31
2021-04-06 265 30
2021-04-05 273 30
2021-04-02 272 30
2021-04-01 264 31
2021-03-31 269 32
2021-03-30 278 33
2021-03-29 272 33
2021-03-26 272 34
2021-03-25 292 33
2021-03-24 271 33
2021-03-23 290 32
2021-03-22 280 31
2021-03-19 268 32
2021-03-18 285 30
2021-03-17 276 31
2021-03-16 281 31
2021-03-15 271 31
2021-03-12 266 32
2021-03-11 262 31
2021-03-10 264 32
2021-03-09 261 32
2021-03-08 262 33
2021-03-05 264 32
2021-03-04 265 31
2021-03-03 258 31
2021-03-02 261 31
2021-03-01 265 30
2021-02-26 270 32
2021-02-25 264 32
2021-02-24 267 31
2021-02-23 276 31
2021-02-22 275 31
2021-02-19 281 31
2021-02-18 305 31
2021-02-17 322 30
2021-02-16 326 30
2021-02-15 332 30
2021-02-12 333 30
2021-02-11 336 30
2021-02-10 343 30
2021-02-09 330 31
2021-02-08 328 31
2021-02-05 337 31
2021-02-04 338 30
2021-02-03 334 30
2021-02-02 344 30
2021-02-01 339 33
2021-01-29 344 34
2021-01-28 357 34
2021-01-27 363 33
2021-01-26 360 33
2021-01-25 358 34
2021-01-22 361 33
2021-01-21 362 32
2021-01-20 363 33
2021-01-19 368 33
2021-01-18 372 35
2021-01-15 379 35
2021-01-14 367 35
2021-01-13 373 38
2021-01-12 375 34
2021-01-11 411 32
2021-01-08 430 33
2021-01-07 426 33
2021-01-06 443 33
2021-01-05 441 34
2021-01-04 459 34
2020-12-31 459 35
2020-12-30 455 35
2020-12-29 457 36
2020-12-28 467 37
2020-12-25 471 38
2020-12-24 469 38
2020-12-23 471 39
2020-12-22 481 39
2020-12-21 480 38
2020-12-18 471 37
2020-12-17 469 36
2020-12-16 474 37
2020-12-15 477 38
2020-12-14 479 37
2020-12-11 486 37
2020-12-10 480 37
2020-12-09 482 36
2020-12-08 472 36
2020-12-07 461 36
2020-12-04 461 36
2020-12-03 459 38
2020-12-02 457 38
2020-12-01 469 36
2020-11-30 459 38
2020-11-27 460 36
2020-11-26 462 37
2020-11-25 451 38
2020-11-24 446 39
2020-11-23 455 39
2020-11-20 456 40
2020-11-19 469 38
2020-11-18 454 37
2020-11-17 436 22
2020-11-16 425 23
2020-11-13 446 24
2020-11-12 447 23
2020-11-11 444 23
2020-11-10 437 23
2020-11-09 452 23
2020-11-06 465 24
2020-11-05 454 25
2020-11-04 456 27
2020-11-03 440 27
2020-11-02 428 29
2020-10-30 437 28
2020-10-29 452 28
2020-10-28 449 29
2020-10-27 426 28
2020-10-26 435 28
2020-10-23 431 28
2020-10-22 434 28
2020-10-21 443 28
2020-10-20 441 27
2020-10-19 443 27

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
2021-08 $20 $2,109 0.95%
2021-07 $15 $2,088 0.73%
2021-06 $16 $2,089 0.77%
2021-05 $18 $2,100 0.85%
2021-04 $26 $2,195 1.21%
2021-03 $27 $2,143 1.28%
2021-02 $11 $2,187 0.50%
2021-01 $11 $1,911 0.56%
2020-12 $11 $1,944 0.55%
2020-11 $12 $1,988 0.61%
2020-10 $11 $1,964 0.55%
2020-09 $10 $1,835 0.55%



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.