Refer to the following table when completing the fields on the Regulatory Information worksheet in your Mass Upload Excel workbook.
| Field Name | Required | Documentation |
|---|---|---|
| Customer ID | Y | A unique ID to map customer information from worksheet to worksheet. Use alphanumeric characters only or current account ID at your firm. |
| Question 1 | Y | Possible values: YES/NO
Is the account holder or any immediate family member who resides in the same household, registered as a broker-dealer or an employee, director or owner of a securities or commodities brokerage firm? NOTE: If account holder is employed by a brokerage firm, the compliance officer of that firm must authorize this account by sending an e-mail to Interactive Brokers Processing Department at newaccounts@interactivebrokers.com. The compliance officer should note "Employee Account Authorization" in the subject heading of the e-mail. The e-mail must state the following: "Interactive Brokers is authorized to establish and maintain an account for [Fill in Customer name]. [Fill in Name of Brokerage Firm] agrees to accept copies of daily confirmations and monthly statements by email to [Fill in E-mail Address]." |
If answer to question 1 is “YES”, specify:
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| Question 2 | Y | Possible values: YES/NO
Is the account holder a member of an exchange or a regulatory or a self-regulatory organization, or an associated person, affiliated person or employee of an exchange member? |
| If answer to question 2 is “YES”, specify: List firm and Exchanges Y |
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