IB Host and Ports Documentation


TWS connects to our servers via port 4000 and 4001, if using SSL. The trading platform will not function on any other port. Consider that if you are using a proxy server, it needs to be a transparent one. Both inbound and outbound ports need to be open for TWS to function properly.

Below are listed all the gateways, along with the corresponding IP Addresses, that might be used by the TWS when you use our services, please allow access to those hosts.

The easiest way to test whether your connection needs any special setup or has been configured properly is to use IB's Dedicated Test page, which will provide a dynamic test of your network’s connection against our main trading and market data servers. If a “Success” response is returned, there is nothing more for you to do. If the response is “Failure”, we recommend adding an exception for the new hosts to your network’s configuration or review your changes.

Note: If your network uses a browser proxy, the test page can produce false positives. In this case, or if you are not sure what your network setup is, turn to your network administrators, who can perform ping and telnet tests to the hosts listed below to confirm compliance with the connectivity requirements.








80 / 443



80 / 443



80 / 443



80 / 443



80 / 443







1: Standard Communication: TCP Port 80 | SSL Communication: TCP Port 443










4000 / 4001






4000 / 4001






4000 / 4001






4000 / 4001






80 / 443





80 / 443








4000 / 4001





 2: Standard Communication: TCP Port 4000 | SSL Communication: TCP Port 4001/443




Allocation of Partial Fills


How are executions allocated when an order receives a partial fill because an insufficient quantity is available to complete the allocation of shares/contracts to sub-accounts?



From time-to-time, one may experience an allocation order which is partially executed and is canceled prior to being completed (i.e. market closes, contract expires, halts due to news, prices move in an unfavorable direction, etc.). In such cases, IB determines which customers (who were originally included in the order group and/or profile) will receive the executed shares/contracts. The methodology used by IB to impartially determine who receives the shares/contacts in the event of a partial fill is described in this article.



Before placing an order CTAs and FAs are given the ability to predetermine the method by which an execution is to be allocated amongst client accounts. They can do so by first creating a group (i.e. ratio/percentage) or profile (i.e. specific amount) wherein a distinct number of shares/contracts are specified per client account (i.e. pre-trade allocation). These amounts can be prearranged based on certain account values including the clients’ Net Liquidation Total, Available Equity, etc., or indicated prior to the order execution using Ratios, Percentages, etc. Each group and/or profile is generally created with the assumption that the order will be executed in full. However, as we will see, this is not always the case. Therefore, we are providing examples that describe and demonstrate the process used to allocate partial executions with pre-defined groups and/or profiles and how the allocations are determined.

Here is the list of allocation methods with brief descriptions about how they work.

·         AvailableEquity
Use sub account’ available equality value as ratio. 

·         NetLiq
Use subaccount’ net liquidation value as ratio

·         EqualQuantity
Same ratio for each account

·         PctChange1:Portion of the allocation logic is in Trader Workstation (the initial calculation of the desired quantities per account).

·         Profile

The ratio is prescribed by the user

·         Inline Profile

The ratio is prescribed by the user.

·         Model1:
Roughly speaking, we use each account NLV in the model as the desired ratio. It is possible to dynamically add (invest) or remove (divest) accounts to/from a model, which can change allocation of the existing orders.




Basic Examples:


CTA/FA has 3-clients with a predefined profile titled “XYZ commodities” for orders of 50 contracts which (upon execution) are allocated as follows:

Account (A) = 25 contracts

Account (B) = 15 contracts

Account (C) = 10 contracts


Example #1:

CTA/FA creates a DAY order to buy 50 Sept 2016 XYZ future contracts and specifies “XYZ commodities” as the predefined allocation profile. Upon transmission at 10 am (ET) the order begins to execute2but in very small portions and over a very long period of time. At 2 pm (ET) the order is canceled prior to being executed in full. As a result, only a portion of the order is filled (i.e., 7 of the 50 contracts are filled or 14%). For each account the system initially allocates by rounding fractional amounts down to whole numbers:


Account (A) = 14% of 25 = 3.5 rounded down to 3

Account (B) = 14% of 15 = 2.1 rounded down to 2

Account (C) = 14% of 10 = 1.4 rounded down to 1


To Summarize:

A: initially receives 3 contracts, which is 3/25 of desired (fill ratio = 0.12)

B: initially receives 2 contracts, which is 2/15 of desired (fill ratio = 0.134)

C: initially receives 1 contract, which is 1/10 of desired (fill ratio = 0.10)


The system then allocates the next (and final) contract to an account with the smallest ratio (i.e. Account C which currently has a ratio of 0.10).

A: final allocation of 3 contracts, which is 3/25 of desired (fill ratio = 0.12)

B: final allocation of 2 contracts, which is 2/15 of desired (fill ratio = 0.134)

C: final allocation of 2 contract, which is 2/10 of desired (fill ratio = 0.20)

The execution(s) received have now been allocated in full.


Example #2:

CTA/FA creates a DAY order to buy 50 Sept 2016 XYZ future contracts and specifies “XYZ commodities” as the predefined allocation profile. Upon transmission at 11 am (ET) the order begins to be filled3 but in very small portions and over a very long period of time. At 1 pm (ET) the order is canceled prior being executed in full. As a result, only a portion of the order is executed (i.e., 5 of the 50 contracts are filled or 10%).For each account, the system initially allocates by rounding fractional amounts down to whole numbers:


Account (A) = 10% of 25 = 2.5 rounded down to 2

Account (B) = 10% of 15 = 1.5 rounded down to 1

Account (C) = 10% of 10 = 1 (no rounding necessary)


To Summarize:

A: initially receives 2 contracts, which is 2/25 of desired (fill ratio = 0.08)

B: initially receives 1 contract, which is 1/15 of desired (fill ratio = 0.067)

C: initially receives 1 contract, which is 1/10 of desired (fill ratio = 0.10)

The system then allocates the next (and final) contract to an account with the smallest ratio (i.e. to Account B which currently has a ratio of 0.067).

A: final allocation of 2 contracts, which is 2/25 of desired (fill ratio = 0.08)

B: final allocation of 2 contracts, which is 2/15 of desired (fill ratio = 0.134)

C: final allocation of 1 contract, which is 1/10 of desired (fill ratio = 0.10)


The execution(s) received have now been allocated in full.

Example #3:

CTA/FA creates a DAY order to buy 50 Sept 2016 XYZ future contracts and specifies “XYZ commodities” as the predefined allocation profile. Upon transmission at 11 am (ET) the order begins to be executed2  but in very small portions and over a very long period of time. At 12 pm (ET) the order is canceled prior to being executed in full. As a result, only a portion of the order is filled (i.e., 3 of the 50 contracts are filled or 6%). Normally the system initially allocates by rounding fractional amounts down to whole numbers, however for a fill size of less than 4 shares/contracts, IB first allocates based on the following random allocation methodology.


In this case, since the fill size is 3, we skip the rounding fractional amounts down.


For the first share/contract, all A, B and C have the same initial fill ratio and fill quantity, so we randomly pick an account and allocate this share/contract. The system randomly chose account A for allocation of the first share/contract.


To Summarize3:

A: initially receives 1 contract, which is 1/25 of desired (fill ratio = 0.04)

B: initially receives 0 contracts, which is 0/15 of desired (fill ratio = 0.00)

C: initially receives 0 contracts, which is 0/10 of desired (fill ratio = 0.00)


Next, the system will perform a random allocation amongst the remaining accounts (in this case accounts B & C, each with an equal probability) to determine who will receive the next share/contract.


The system randomly chose account B for allocation of the second share/contract.

A: 1 contract, which is 1/25 of desired (fill ratio = 0.04)

B: 1 contract, which is 1/15 of desired (fill ratio = 0.067)

C: 0 contracts, which is 0/10 of desired (fill ratio = 0.00)


The system then allocates the final [3] share/contract to an account(s) with the smallest ratio (i.e. Account C which currently has a ratio of 0.00).

A: final allocation of 1 contract, which is 1/25 of desired (fill ratio = 0.04)

B: final allocation of 1 contract, which is 1/15 of desired (fill ratio = 0.067)

C: final allocation of 1 contract, which is 1/10 of desired (fill ratio = 0.10)


The execution(s) received have now been allocated in full.


Available allocation Flags

Besides the allocation methods above, user can choose the following flags, which also influence the allocation:

·         Strict per-account allocation.
For the initially submitted order if one or more subaccounts are rejected by the credit checking, we reject the whole order.

·         “Close positions first”1.This is the default handling mode for all orders which close a position (whether or not they are also opening position on the other side or not). The calculation are slightly different and ensure that we do not start opening position for one account if another account still has a position to close, except in few more complex cases.

Other factor affects allocations:

1)      Mutual Fund: the allocation has two steps. The first execution report is received before market open. We allocate based onMonetaryValue for buy order and MonetaryValueShares for sell order. Later, when second execution report which has the NetAssetValue comes, we do the final allocation based on first allocation report.

2)      Allocate in Lot Size: if a user chooses (thru account config) to prefer whole-lot allocations for stocks, the calculations are more complex and will be described in the next version of this document.

3)      Combo allocation1: we allocate combo trades as a unit, resulting in slightly different calculations.

4)      Long/short split1: applied to orders for stocks, warrants or structured products. When allocating long sell orders, we only allocate to accounts which have long position: resulting in calculations being more complex.

5)      For non-guaranteed smart combo: we do allocation by each leg instead of combo.

6)      In case of trade bust or correction1: the allocations are adjusted using more complex logic.

7)      Account exclusion1: Some subaccounts could be excluded from allocation for the following reasons, no trading permission, employee restriction, broker restriction, RejectIfOpening, prop account restrictions, dynamic size violation, MoneyMarketRules restriction for mutual fund. We do not allocate to excluded accountsand we cancel the order after other accounts are filled. In case of partial restriction (e.g. account is permitted to close but not to open, or account has enough excess liquidity only for a portion of the desired position).




1.        Details of these calculations will be included in the next revision of this document.

2.        To continue observing margin in each account on a real-time basis, IB allocates each trade immediately (behind the scenes) however from the CTA and/or FA (or client’s) point of view, the final distribution of the execution at an average price typically occurs when the trade is executed in full, is canceled or at the end of day (whichever happens first).

3.       If no account has a ratio greater than 1.0 or multiple accounts are tied in the final step (i.e. ratio = 0.00), the first step is skipped and allocation of the first share/contract is decided via step two (i.e. random allocation).


SEC Tick Size Pilot Program FAQs

Tick Size Pilot ("TSP" or "Pilot") Program:

Under the TSP Program,  if IB receives any order in a Pilot Security that does not conform to the designated pricing increment (e.g., a limit price in a $0.01 increment for a security designated as trading $0.05 increments), IB will REJECT that order, subject to limited exceptions. IB strongly encourages a thorough review of your software or your vendor’s software to understand the criteria for what causes an order in a Pilot Security to be rejected to permit you or your vendor to make changes to correctly handle orders in Test Group Pilot Securities.


Q: What is the Tick Size Pilot?
A: On May 6, 2015 the SEC approved an amended TSP NMS Plan. The Pilot will be two years in length. Data collection for the Pilot began on April 4, 2016, 6 months prior to the implementation of the trading and quoting rules for the Pilot. Implementation of the trading and quoting rules for the Pilot will begin on October 3, 2016.

The Pilot will be conducted using a Control Group and three Test Groups where variations in quoting and trading rules exist between each group. Please see the TSP NMS Plan for additional information.


Q: Will the Pilot quoting and trading rules apply during regular market hours, pre-market hours and post market hours?
A: The Pilot rules apply during all operational hours (pre-market, regular hours, and post market hours trading).


Q: Will the Pilot quoting and trading rules apply to odd-lot and mixed-lot sizes?
A: Yes, the Pilot rules to all order sizes.


Q: Will orders in Control Group Securities be accepted in price increments of less than $0.05?
A: Yes, orders submitted in price increments of less than $0.05 will continue to be accepted in Control Group securities.


Q: Will orders in a Test Group 1, 2 or 3 Pilot Securities be accepted in price increments of less than $0.05?
A: No, unless covered by an exception, orders submitted in price increments of less than $0.05 will be rejected.


Q: Which Pilot Security Orders in Test Groups will Interactive Brokers accept at other than $0.05 increments?
        Midpoint orders with no explicitly stated limit price or impermissible offsets will be accepted
        VWAP orders which do not have an explicitly stated limit price or impermissible offsets will be accepted.
        Interactive Brokers will accept Exchange operated Retail Price Improvement orders as follows:
                  Test Group 1 in $0.001 price increments
                  Test Groups 2 and 3 in $0.005 price increments.


Q: Will there be any changes to the Opening / Closing processes on Exchanges?
A: Please refer to each of the exchange rules for details but in general there will be no changes to the Opening / Closing process. All orders entered and eligible to participate in Exchange Opening / Closing Cross will be accepted in increments of $0.05. The Exchanges will begin publishing all quotes in increments of $0.05; however, Net Order Imbalance Indicator prices may be published in increments of $0.025.


Q: What will happen to my GTC order that was placed prior to October 3rd in a Pilot Stock that was priced in impermissible tick increments?
A: Interactive Brokers will adjust outstanding limit and stop GTC orders in Pilot stocks in Test Groups that are not in permissible tick increments (e.g., a buy limit order at $5.01 will be adjusted to $5.00 and a sell limit at $5.01 adjusted to $5.05).


Q: What will happen to my GTC order placed after October 3rd that was placed and accepted in a nickel tick increment but the Pilot Stock moves from a Test Group to the Control Group which permits non-nickel increments?
A: The GTC order will automatically be able to be revised by the user in non-nickel increments on the date the Pilot stock moves from the Test Group to the Control Group. Similarly, if a stock gets added to Test Group due to a corporate action, IB will cancel the GTC order if it is priced in impermissible increments.


Q: Where can I find out more information?

A: See KB2752 or the FINRA website for additional details regarding the Pilot Program: http://www.finra.org/industry/tick-size-pilot-program

Locating Portfolio Page

The portfolio page allows you to view and montor your current portfolio at the individual position level, including psoition quantity, market value, current bid-ask and profit/loss. Instructions for locating the page vary by trading platform and are outlined below:

TWS Classic - First check to see if you have detached the page from the main window (an option provided by right clicking on the tab). If this is the case, the page will be open but hidden behind the main window. Minimize the main window by clicking on the minimize icon located in the upper-right hand corner of the screen. If you are able to then view the portfolio page and wish to reattach it, simply right click on the tab to open the menu and select the "Attach Page" option.

If the page is not detached, select the "Account Window" option from the top menu bar and then "Portfolio Window" menu option.


Mosiac - from the Montor window, click on the small + sign located to the right of any existing monitor tabs. Then select "Portfolio" and this page will reappear.



Additional Information Regarding the Use of Stop Orders

U.S. equity markets occasionally experience periods of extraordinary volatility and price dislocation. Sometimes these occurrences are prolonged and at other times they are of very short duration. Stop orders may play a role in contributing to downward price pressure and market volatility and may result in executions at prices very far from the trigger price. 

Investors may use stop sell orders to help protect a profit position in the event the price of a stock declines or to limit a loss. In addition, investors with a short position may use stop buy orders to help limit losses in the event of price increases. However, because stop orders, once triggered, become market orders, investors immediately face the same risks inherent with market orders – particularly during volatile market conditions when orders may be executed at prices materially above or below expected prices.
While stop orders may be a useful tool for investors to help monitor the price of their positions, stop orders are not without potential risks.  If you choose to trade using stop orders, please keep the following information in mind:
·         Stop prices are not guaranteed execution prices. A “stop order” becomes a “market order” when the “stop price” is reached and the resulting order is required to be executed fully and promptly at the current market price. Therefore, the price at which a stop order ultimately is executed may be very different from the investor’s “stop price.” Accordingly, while a customer may receive a prompt execution of a stop order that becomes a market order, during volatile market conditions, the execution price may be significantly different from the stop price, if the market is moving rapidly.
·         Stop orders may be triggered by a short-lived, dramatic price change. During periods of volatile market conditions, the price of a stock can move significantly in a short period of time and trigger an execution of a stop order (and the stock may later resume trading at its prior price level). Investors should understand that if their stop order is triggered under these circumstances, their order may be filled at an undesirable price, and the price may subsequently stabilize during the same trading day.
·         Sell stop orders may exacerbate price declines during times of extreme volatility. The activation of sell stop orders may add downward price pressure on a security. If triggered during a precipitous price decline, a sell stop order also is more likely to result in an execution well below the stop price.
·         Placing a “limit price” on a stop order may help manage some of these risks. A stop order with a “limit price” (a “stop limit” order) becomes a “limit order” when the stock reaches or exceeds the “stop price.” A “limit order” is an order to buy or sell a security for an amount no worse than a specific price (i.e., the “limit price”). By using a stop limit order instead of a regular stop order, a customer will receive additional certainty with respect to the price the customer receives for the stock. However, investors also should be aware that, because a sell order cannot be filled at a price that is lower (or a buy order for a price that is higher) than the limit price selected, there is the possibility that the order will not be filled at all. Customers should consider using limit orders in cases where they prioritize achieving a desired target price more than receiving an immediate execution irrespective of price.
·         The risks inherent in stop orders may be higher during illiquid market hours or around the open and close when markets may be more volatile. This may be of heightened importance for illiquid stocks, which may become even harder to sell at the then current price level and may experience added price dislocation during times of extraordinary market volatility. Customers should consider restricting the time of day during which a stop order may be triggered to prevent stop orders from activating during illiquid market hours or around the open and close when markets may be more volatile, and consider using other order types during these periods.
·         In light of the risks inherent in using stop orders, customers should carefully consider using other order types that may also be consistent with their trading needs.

Рыночные данные: Анкета для непрофессионалов


Подробности о заполнении нового опросника для непрофессионалов.


NYSE и большинство бирж США требуют, чтобы компании проверяли статус своих клиентов перед предоставлением им прав на получение рыночных данных. С этой целью впредь будет использоваться  "Анкета для непрофессионалов". Согласно биржевым правилам, клиенты, не прошедшие такую идентификацию, по умолчанию будут считаться профессионалами. Данный процесс поможет в выяснении и поддержании корректности статуса всех новых подписчиков на рыночные данные. Определение обоих терминов содержится в статье: ibkb.interactivebrokers.com/article/2369.

Для получения статуса "Непрофессионал" необходимо ответить на все вопросы в анкете. Поскольку биржи требуют точного подтверждения, неполные или неоднозначные результаты опросника приведут к присвоению Вам звания "Профессионал", пока не будет доказано обратное. 

При необходимости смены статуса свяжитесь со службой поддержки.

Пояснение вопросов:

1)    Коммерческие и деловые цели

а)    Получаете ли Вы финансовую информацию (включая новости и данные о стоимости ценных бумаг, товарных активов и других финансовых инструментов) для своего бизнеса или любой другой коммерческой структуры?

Пояснение: Получаете и используете ли Вы рыночные данные от имени компании или любой другой организации, а не чисто в личных целях?

б)    Ведете ли Вы торговлю ценными бумагами, товарными активами или Forex в пользу корпорации, товарищества, профессионального траста, профессиональной группы инвесторов или любого другого юридического лица?

Пояснение: Торгуете ли Вы исключительно за себя или от имени организации (Ltd, LLC, GmbH, Co., LLP, Corp.)?

в)    Состоите ли Вы в договоре о (а) разделении прибыли, полученной в результате Вашей торговой деятельности, или (б) получении компенсации за Вашу торговую деятельность?

Пояснение: Платят ли Вам за торговлю и делите ли Вы доход от трейдинга с третьей стороной (юридическом или частным лицом)?

г)    Предоставляют ли Вам офисное пространство, оборудование и прочие привилегии в обмен на ведение торговли или финансовые консультации?

Пояснение: Получаете ли Вы неденежное вознаграждение от третьей стороны за торговую деятельность?

2)    Представление чужих интересов

а)    Выступаете ли Вы в настоящее время в роли консультанта или брокера/дилера?

Пояснение: Платят ли Вам за управление чужими активами или консультирование третьих лиц по поводу распоряжения их капиталом?

б)    Работаете ли Вы управляющим активами (ценными бумагами, товарами или Forex)?         

Пояснение:  Платят ли Вам за управление ценными бумагами, товарными активами или Forex?

в)     Используете ли Вы финансовую информацию в служебных целях или для управления активами Вашего работодателя или Вашей фирмы?

Пояснение: Используете ли Вы какие-либо данные в коммерческих целях, связанных именно с распоряжением активами Вашего работодателя и/или Вашей компании?

г)    Используете ли Вы капитал любого другого частного или юридического лица для ведения торговли?

Пояснение: Находятся ли на Вашем счете чьи-либо активы кроме Ваших собственных?

3)    Поставка, повторный выпуск или сообщение данных другим лицам

а)    Предоставляете ли Вы третьим лицам любой вид доступа (сообщение, публикация и т.д.) к полученной финансовой информации?

Пояснение: Отправляете ли Вы полученные от нас данные третьим лицам?

4)    Квалифицированный профессиональный трейдер ценными бумагами/фьючерсами

а)    Были ли Вы зарегистрированы или сертифицированы как профессиональный участник рынка ценных бумаг любым агентством или рынком товарных активов и фьючерсных контрактов или же как инвестиционный советник любой национальной или областной биржей, надзорным органом, профессиональной ассоциацией или признанной профессиональной организацией? i, ii
ДА☐             НЕТ☐

i) В примеры надзорных органов входят (помимо прочих):

  • Комиссия США по ценным бумагам и биржам (SEC)
  • Комиссия США по срочным товарным сделкам (CFTC)
  • Управление финансового надзора Великобритании (FSA)
  • Агентство финансовых услуг Японии (JFSA)

ii) В примеры самоуправляемых организаций (SRO) входят (помимо прочих):

  • NYSE (США)
  • VQF (Швейцария)










1)    商業及業務用途

a)    您是否出於業務需要、或代表其他商業實體接收財經信息(包括關於證券、商品及其他金融產品的新聞或價格數據)?


b)    您是否代表公司、合夥企業、專業信託機構、專業投資俱樂部或其他實體開展證券、商品或外匯交易?


c)    您是否就以下事項與其他實體或個人達成過協議:(a) 分享交易活動的盈利,或(b)獲取交易酬勞?


d)    您是否通過交易換取辦公場所、設備或其他福利?或者,您是否擔任任意個人、企業或商業實體的財務顧問?


2)    擔任職務

a)    目前您是否擔任任何投資顧問或經紀交易商的職務?


b)    您是否擔任證券、商品或外匯方面的資產管理人?         


c)     目前您是否在工作中使用此類財經信息,或將其用於管理您的雇主或公司的資產?


d)    您交易時是否使用了其他個人或實體的資金?


3)    向其他任意實體傳播、再發布或提供數據

a)    您是否以任意方式向任意第三方傳播、再傳播、發布或提供任何從服務中獲得的財經信息?


4)    合資格的專業證券/期貨交易商

a)    目前,您是否為任意證券機構、商品或期貨市場的註冊或合資格的專業證券交易員,或為任意國家交易所、監管機構、專業協會或公認專業機構的投資顧問?i, ii
是☐             否☐

i) 監管機構的例子包括但不限於:

  • 美國證券交易委員會(SEC)
  • 美國商品期貨交易委員會(CFTC)
  • 英國金融服務局(FSA)
  • 日本金融服務局(JFSA)

ii) 自律組織(SROs)的例子包括但不限於:

  • 美國紐約證券交易所(NYSE)
  • 美國金融業監管局(FINRA)
  • 瑞士聯邦金融局(VQF)









1)    商业及业务用途

a)    您是否出于业务需要、或代表其他商业实体接收财经信息(包括关于证券、商品及其他金融产品的新闻或价格数据)?


b)    您是否代表公司、合伙企业、专业信托机构、专业投资俱乐部或其他实体开展证券、商品或外汇交易?


c)    您是否就以下事项与其他实体或个人达成过协议:(a) 分享交易活动的盈利,或 (b)获取交易酬劳?


d)    您是否通过交易换取办公场所、设备或其他福利?或者,您是否担任任意个人、企业或商业实体的财务顾问?


2)    担任职务

a)    目前您是否担任任何投资顾问或经纪交易商的职务?


b)    您是否担任证券、商品或外汇方面的资产管理人?


c)     目前您是否在工作中使用此类财经信息,或将其用于管理您的雇主或公司的资产?


d)    您交易时是否使用了其他个人或实体的资金?


3)    向其他任意实体传播、再发布或提供数据

a)    您是否以任意方式向任意第三方传播、再传播、发布或提供任何从服务中获得的财经信息?


4)    合资格的专业证券/期货交易商

a)    目前,您是否为任意证券机构、商品或期货市场的注册或合资格的专业证券交易员,或为任意国家交易所、监管机构、专业协会或公认专业机构的投资顾问?i, ii
是☐             否☐

i) 监管机构的例子包括但不限于:

  • 美国证券交易委员会(SEC)
  • 美国商品期货交易委员会(CFTC)
  • 英国金融服务局(FSA)
  • 日本金融服务局(JFSA)

ii) 自律组织(SROs)的例子包括但不限于:

  • 美国纽约证券交易所(NYSE)
  • 美国金融业监管局(FINRA)
  • 瑞士联邦金融局(VQF)


Fragebogen zum „Non-Professional“-Status für Marktdatenabonnements


Informationen zur Vervollständigung des neuen Non-Professional-Fragebogens.


Die NYSE und auch die meisten anderen US-Börsen verlangen, dass Anbieter den Marktdaten-Abonnentenstatus jedes Kunden aktiv überprüfen und bestätigen, bevor der Bezug von Marktdaten gestattet wird. Zukünftig wird der Non-Professional-Fragebogen zur Feststellung und aktiven Bestätigung des Marktdaten-Abonnentenstatus aller Abonnementkunden verwendet. Gemäß Börsenvorschriften wird, wenn keine explizite Identifikation des Kunden als Non-Professional erfolgt ist, der Status „Professional“ als standardmäßiger Abonnentenstatus für den Bezug von Marktdaten verwendet. Durch diesen Prozess wird der korrekte Abonnentenstatus aller neuen Marktdatenabonnenten geschützt und verwaltet. Einen kurzen Leitfaden zur Definition der Statusbezeichnungen Professional/Non-Professional finden Sie in folgendem Artikel: ibkb.interactivebrokers.com/article/2369.

Die Statusbezeichnung „Non-Professional“ kann nur verliehen werden, wenn sämtliche Fragen dieses Fragebogens beantwortet wurden. Da die Börsen eine aktive Bestätigung als Nachweis für die Einstufung als Non-Professional voraussetzen, ist ein unvollständig oder uneindeutig ausgefüllter Non-Professional-Fragebogen nicht ausreichend und führt zu einer Einstufung als Professional-Abonnent, bis der tatsächliche Status in ausreichender Klarheit nachgewiesen wird. 

Falls sich Ihr Status ändern sollte, kontaktieren Sie bitte das Helpdesk.

Erläuterungen zu den Fragen:

1)    Kommerzielle und gewerbliche Zwecke

a)    Beziehen Sie Finanzinformationen (einschließlich Nachrichten oder Kursnotierungsdaten zu Wertpapieren, Terminkontrakten, Rohstoffen und anderen Finanzinstrumenten) für Ihr Unternehmen oder eine andere kommerzielle Körperschaft?

Erklärung: Beziehen und verwenden Sie die Marktdaten - über die Nutzung der Daten für dieses Konto zu Ihren persönlichen Zwecken hinaus - im Namen eines Unternehmens oder einer anderweitigen Organisation?

b)    Tätigen Sie Handelsgeschäfte mit Wertpapieren, Terminkontrakten/Rohstoffen oder Devisen zugunsten einer Kapitalgesellschaft, Partnerschaftsgesellschaft, eines professionellen Trusts, eines professionellen Investment-Clubs oder einer anderen Körperschaft?

Erklärung: Handeln Sie nur für sich selbst oder im Auftrag einer Körperschaft (Ltd, LLC, GmbH, Co., LLP, Corp., o.ä.)?

c)    Sind Sie Partei eines Vertrags, der (a) eine Teilung des Gewinns aus Ihren Handelsaktivitäten oder (b) den Erhalt einer Vergütung für Ihre Handelstätigkeiten vorsieht?

Erklärung: Erhalten Sie eine Vergütung für Ihre Trading-Tätigkeiten oder teilen Sie sich den Gewinn aus Ihren Handelsgeschäften mit einer dritten Körperschaft oder Person?

d)    Werden Ihnen ein Arbeitsplatz und Ausrüstung oder andere Leistungen im Gegenzug für Ihre Trading-Tätigkeiten oder Ihre Arbeit als Finanzberater für eine Person oder eine gewerbliche Körperschaft bereitgestellt?

Erklärung: Erhalten Sie von einer Drittpartei irgendeine Form von Gegenleistung für Ihre Trading-Tätigkeiten (diese Gegenleistung muss nicht in einer Geldzahlung bestehen)?

2)    Auftreten in einer bestimmten Eigenschaft

a)    Sind Sie derzeit in einer Eigenschaft als Anlageberater oder Broker-Dealer tätig?

Erklärung: Werden Sie für die Verwaltung des Vermögens einer Drittpartei vergütet (Gegenleistung) oder erhalten Sie eine Vergütung (Gegenleistung) dafür, dass Sie Dritte hinsichtlich der Verwaltung ihrer Vermögenswerte beraten?

b)    Sind Sie als Vermögensverwalter für Wertpapiere, Terminkontrakte/Rohstoffe oder Devisen tätig?         

Erklärung: Erhalten Sie eine Vergütung (Gegenleistung) für die Verwaltung von Wertpapieren, Terminkontrakten/Rohstoffen oder Devisen?

c)     Verwenden Sie die bezogenen Finanzinformationen derzeit in einer geschäftlichen Funktion oder zur Verwaltung des Vermögens Ihres Arbeitgebers oder Ihres Unternehmens?

Erklärung: Verwenden Sie Marktdaten in irgendeiner Weise für kommerzielle Zwecke, insbesondere zur Verwaltung der Vermögenswerte Ihres Arbeitgebers und/oder Ihres Unternehmens?

d)    Verwenden Sie bei der Ausführung Ihrer Handelsgeschäfte Kapital einer anderen Person oder Körperschaft?

Erklärung: Befinden sich in Ihrem Konto Vermögenswerte, die nicht Ihnen gehören, sondern einer anderen Person oder Körperschaft?

3)    Verbreitung, Wiederveröffentlichung oder Bereitstellung der Daten an Dritte

a)    Involviert Ihre Tätigkeit in irgendeiner Weise die Verbreitung, Weiterverteilung, Veröffentlichung, Bereitstellung oder anderweitige Zurverfügungstellung von Finanzdaten des Datendienstes an Dritte?

Erklärung: Übermitteln Sie jegliche Daten, die Sie von uns erhalten, in irgendeiner Weise an Dritte weiter?

4)    Qualifizierte professionelle Wertpapier-/Futures-Trader

a)    Sind Sie aktuell als Wertpapier-Trader bei einer Wertpapieragentur oder einer Rohstoff- oder Terminkontraktbörse registriert oder qualifiziert, oder als Anlageberater bei einer nationalen oder bundesstaatlichen Börse, Aufsichtsbehörde, Berufsgenossenschaft oder einem anerkannten Berufsverband registriert oder qualifiziert? i, ii
JA☐             NEIN☐

i) Beispiele für entsprechende Aufsichtsbehörden sind unter anderem folgende:

  • US Securities and Exchange Commission (SEC)
  • US Commodities Futures Trading Commission (CFTC)
  • UK Financial Service Authority (FSA)
  • Japanese Financial Service Agency (JFSA)

ii) Beispiele für entsprechende Selbstregulierungsorganisationen (SROs) sind unter anderem folgende:

  • Swiss VQF 


Questionnaire relatif aux données de marché pour Non-Professionel


Informations sur la manière de remplir le nouveau questionnaire destiné aux non-professionnels.


Le NYSE ainsi que la plupart des Bourses américaines exigent que les fournisseurs confirment avec certitude le statut de chaque client Non-Professionnel avant de leur permettre de recevoir des données de marché. À l'avenir, le questionnaire pour Non-Professionel sera utilisé pour déterminer et confirmer le statut de chaque client en termes d'accès aux données de marché. Conformément aux exigences de la Bourse, si les clients ne sont pas identifiés comme non-professionnels, ils se verront attribuer par défaut le statut de professionnels. Ce procédé vise à garantir et conserver le bon statut ouvrant accès aux données de marché pour tout nouvel abonné. Pour une définition du statut de professionnel, veuillez consulter l'article ibkb.interactivebrokers.com/article/2369.


Vous devrez répondre à chaque question de ce questionnaire afin que votre statut de non-professionnel puisse être déterminé. Les Bourses exigeant la confirmation de la preuve de la désignation de non-professionnel, un questionnaire incomplet ou ambigu aboutira à l'attribution du statut de Professionnel jusqu'à ce que le statut puisse être confirmé.

Si ce statut était amené à changer, veuillez contacter votre service d'assistance.

Clarification des questions:

1)    À des fins commerciales ou entrepreneuriales

a)    Recevez-vous des informations financières (y compris des informations d'actualité ou de prix concernant des titres, contrats ou autres instruments financiers ?

Explication : recevez-vous et utilisez-vous les données de marché pour le compte d'une entreprise ou toute autre organisation, en dehors de l'utilisation personnelle que vous en faite sur ce compte ?

b)    Réalisez-vous des opérations de trading de titres , de contrats ou de produits Forex pour le bénéfice d'une personne morale, d'une société de personnes, d'une fiducie professionnelle, d'un club d'investissement ou d'une autre entité ?

Explication : tradez-vous pour votre propre compte ou pour le compte d'une organisation (Ltd, LLC, GmbH, Co., LLP, Corp, SARL, SA, etc.) ?

c)  Avez-vous conclu un accord de (a) partage de profit pour vos activités de trading ou (b) de rémunération de vos activités de trading ?

Explication : percevez-vous une rémunération ou rétribution pour réaliser du trading ou partagez-vous les profits de vos activités de trading avec une entité ou personne tierce ?

d)    Recevez-vous un espace de travail, de l'équipement ou tout autre avantage en contrepartie de votre trading ou travail en tant que consultant financier d'une personne, entreprise ou entité ?

Explication : êtes-vous rémunéré ou percevez-vous une rétribution sous quelque forme que ce soit pour vos activités de trading, cette rétribution n'étant pas nécessairement monétaire.

2)    Agir en qualité de

a)    Agissez-vous actuellement, de quelque manière que ce soit, en qualité de conseiller en investissement ou négociateur-courtier ?

Explication: êtes-vous rémunéré  pour gérer les actifs d'une tierce-partie ou pour conseiller d'autres personnes sur la manière de gérer leurs actifs ?

b) Etes-vous engagé en tant que gestionnaire d'un patrimoine constitué de titres, contrats ou Forex ?

Explication : êtes-vous rémunéré pour gérer des titres, contrats ou produits Forex ?

c)     Utilisez-vous actuellement ces informations financières de manière professionnelle ou dans le but de gérer les actifs de votre employeur ou de la société qui vous emploie ?

Explication : utilisez-vous les données à de fins commerciales dans le but spécifique de gérer les actifs de votre employeur ou de la société qui vous emploie ?

d)    Utilisez-vous le capital de toute autre personne ou entité dans le cadre de vos activités de trading ?

Explication : y a t-il sur votre compte des actifs appartenant à une autre entité que la vôtre ?

3)    Distribuer, republier ou fournir des données à toute autre tierce partie


a)    Distribuez-vous, redistribuez-vous, publiez-vous, mettez-vous à la disposition d'un tiers ou fournissez-vous des informations financières découlant de ce service à une quelconque autre tierce partie ?

Explication : envoyez-vous des données à des tiers ou en recevez-vous de leur part d'une quelconque façon ?

4)    Trader qualifié de titres ou contrats à terme

a)    Etes-vous actuellement enregistré ou qualifié en tant que trader de titres auprès d'une agence de titres, ou auprès d'un marché de matières premières ou contrats à terme, ou êtes-vous un conseiller en investissement auprès d'une Bourse nationale ou d'État, un organisme régulateur, une association professionnelle ou une institution professionnelle reconnue ? i, ii
OUI☐             NON☐

i) Veuillez trouver ci-dessous une liste non-exhaustive d'exemples d'organismes régulateurs :

  • US Securities and Exchange Commission (SEC)
  • US Commodities Futures Trading Commission (CFTC)
  • UK Financial Service Authority (FSA)
  • Japanese Financial Service Agency (JFSA)

ii) Veuillez trouver ci-dessous une liste non-exhaustive d'exemples d'organismes autorégulateurs :

  • Swiss VQF 


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