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Case Summary

INTERACTIVE BROKERS LLC

NFA 12BCC00032

NFA ID: 0258600

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0258600	INTERACTIVE BROKERS LLC

Rule Summary

NFA ID	Respondent	Rule Type
0258600	INTERACTIVE BROKERS LLC	• BLAW1101 - MEMBS MAY NOT DO BUS. W/ NON-MEMBS
		• C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR
		• C.R.2-9 - SUPERVISION OF EMPLOYEES

Committee Summary

NFA ID	Respondent	Committee
0258600	INTERACTIVE BROKERS LLC	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0258600	INTERACTIVE BROKERS LLC	• GENERAL CONDUCT

Penalty/Event Summary

No penalties have been selected for this case.

Narrative Summary

Narrative for 0258600 - INTERACTIVE BROKERS LLC

*TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**

COMPLAINT:

On November 2, 2012, NFA issued a Complaint charging Interactive with doing business with non-Members of NFA that were required to register with the CFTC; failing to observe high standards of commercial honor and just and equitable principles of trade; and failing to supervise.

ANSWER:

On December 18, 2012, Interactive filed an Answer to the Complaint in which the firm denied the material allegations contained therein.

Case Documents Summary

NFA ID	Respondent	Document Type
0258600	INTERACTIVE BROKERS LLC	ANSWER
0258600	INTERACTIVE BROKERS LLC	COMPLAINT

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