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Application XML

The Interactive Brokers Application XML is available for Registered Advisors and Fully Disclosed Brokers who want to develop their own version of the Interactive Brokers account application for their clients.

Note: Application XML is intended for Advisors and Brokers who either have working knowledge of XML or have access to support staff with working knowledge of XML

What is Application XML?

Application XML is a process that lets Registered Advisors and Fully Disclosed Brokers provide their clients with their own customized Interactive Brokers account application experience based on IB's Application XML Schema. In Application XML, you use our schema as the basis for your own client account application, collect all of the required information about your client applicants, and then return all of the client information back to us in XML documents for processing. For example, an Advisor may want his clients to complete an IB account application on his or her own website instead of using Interactive Brokers' electronic client account application.

You can control the look and feel of your client account applications, as long you submit that information to us as properly formatted XML files.

What We Provide

IB provides everything you need to program your own XML-based client account application solution:

• Application XML Agreement - You must sign the Application XML Agreement and return it to us via email for approval by our Compliance Department.

Once we have approved your signed Application XML Agreement, we will provide the following supporting documents via email:

• IB Application XML Schema - The Application XML Schema is described in two XML Schema Definition (.XSD) files: IBCust_import.xsd and IBCustEnumerations.xsd. The .XSD files describe the structure and data types for the XML documents that contain your clients' application information.
• Application XML Schema Documentation - This is a zipped online help system automatically generated from the .XSD files that completely documents the Application XML Schema, including all elements, data types, attributes and values. Once you download and unzip this file, open the index.html in your browser to open the documentation.

Note: The Application XML Schema Documentation includes information about five elements: AcctMgmtRequests, AllDVPInstructions, Applications, ExtPositionsTransfers and Synchronization. Use ONLY the Applications element and ignore the other elements.

• Application XML Response File Schema - This is the file you use to format your custom client application profile to send back to Interactive Brokers.
• XML Samples - Application XML currently supports Individual, Joint, and IRA client accounts for an Advisor or Fully Disclosed Broker account, so we provide a group of sample files for the most common client account types and sample response files. Your programming or technical resources can use the XML samples as models for the XML files that you will send back to us.
• ACAT Broker ID/Name List - This Excel spreadsheet (file name ACAT Broker Entries.xls) lists all brokers who are eligible for ACATS transfers. Refer to this spreadsheet for any clients that using ACATS to fund their accounts.
• EmployeeTrack Company IDs - This Excel spreadsheet (file name ET_Company_ID.xls) lists IDs that correspond to our internal EmployeeTrack company IDs. Refer to this spreadsheet for any clients who are employed by a broker/dealer with an IB EmployeeTrack account.

• Note: This is related to the Affiliation regulatory question.

• Financial Ranges - Net Worth, Liquid Net Worth, Annual Net Income and Total Assets are required attributes in the Financial Information section of your client account applications. We allow either absolute values or ranges of values for these four attributes. The Financial_Ranges.xls Excel spreadsheet lists ranges of values and their corresponding IDs. If you choose to use financial ranges instead of absolute values for these attributes, include the IDs for the appropriate financial range from this spreadsheet.
• Bundle Based/Capability Based Guidelines for Trading Permissions - We provide three text files (BundleBased.txt, CapabilityBased-Country.txt and CapabilityBased-State-Country.txt) that list the form numbers of disclosures, agreements and acknowledgments that are required to support different trading permissions for your client applicants. The actual forms are located in the outgoing/Forms folder on our anonymous FTP site and are listed by the form numbers included in these three text files.
• Trading Permission Codes - This Excel spreadsheet, (file name TradingPermissions.xlsx), lists all of the available trading permission codes that identify the asset classes and countries that your clients want to trade. You use these codes to indicate requested trading permissions in the XML files containing your clients' application information that you send back to us. For example, a trading permission code of US-Sec means that a client is requesting permission to trade US Stocks.
• Country Codes - This comma-separated values file, (file name Country_Codes.csv), lists all available countries. See FAQ 10 for more information.
• Broker Client Market Data Service IDs - For Fully Disclosed Brokers only, this Excel spreadsheet (filename IBrokerClient_MarketDataServices.xls) lists all market data subscription and their Service IDs, along with the price and currency of each subscription. When sending us your client applicant data, use this spreadsheet to find the correct Service ID for each requested market data subscription, and include the Service IDs in the MDServices element in the client application XML file.
• Interactive Brokers Public PGP Key - When you submit your client application information and signed forms and agreements in XML and zip files, you will need IB's public PGP key. The file name is IBKR_CI.PubKey.asc.
• ECA XML Processing - Outlines PGP exchange and signature signing.
• List of acceptable documents for Proof of ID and Address

Accessing the Agreements and Disclosures at Our FTP Site

All of the agreements and disclosures that you will need are located at our anonymous FTP site. Use the following information to access the FTP site. Note that we use anonymous FTP, which means that you can access the forms using your web browser.

How to Get Started

1. Learn more about the XML Sample Files that we will provide via email.
2. Read the Summary to familiarize yourself with the main steps involved in the Application XML process.
3. Go to How to Set Up Application XML and follow all of the detailed steps to initiate the process, prepare and test your XML files, and complete the delivery of your final XML files.