Any symbols displayed within these pages are for illustrative purposes only, and are not intended to portray any recommendation.

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2 ccount anagement User ccess Rights Guide ctober nteractive Brokers LL. ll Rights Reserved ny symbols displayed within these pages are for illustrative purposes only, and are not intended to portray any recommendation.

3 ontents 1 ontents i User ccess Rights Guide 1 ccess Rights verview 1 ccess Rights and ccess Groups 2 ecurity fficers 2 ecurity fficer pprovals 3 ccount-level ccess Rights 3 User Roles 3 Primary and econdary uthorizers 3 User ccess Rights ummary 4 bout ecurity fficers 5 reating ecurity fficers During the ccount pplication Process 5 dding and Deleting ecurity fficers 5 ecurity fficers and ccount anagement 6 onfigure ccess Rights 7 Users 11 ndividual ccount User Rules 11 User nformation Displayed on User ccess Rights Page 12 dding a User 13 User ccess Rights Guide i

4 ontents Viewing Pending User ccess Rights 18 Viewing Eligible ecurity fficers on Pending tems 18 odifying User ccess Rights 19 dding Usernames to a User 21 Deleting a User 23 dd a ecurity fficer 23 User Roles 25 dding a User Role 25 odifying a User Role 26 Deleting a User Role 27 View User Role Details 27 ccess Rights Reference 29 Home enu ccess Rights 29 Trade enu ccess Rights 31 Reports enu ccess Rights 32 unding enu ccess Rights 36 anage ccount enu ccess Rights 38 anage lients/anage unds/anage Traders enu ccess Rights 44 nvestors' arketplace enu ccess Rights 48 upport enu ccess Rights 52 Reference enu ccess Rights 53 ndex 55 User ccess Rights Guide ii

5 1 User ccess Rights Guide ccess Rights verview We give our clients the ability to create users through User ccess Rights. The assignment of users and their access rights is controlled by an organization's ecurity fficer(s). ndividual accounts can also add users and assign access rights to them, but these accounts do not have access to the full range of user access rights functionality available to ecurity fficers for institutional accounts. nstitutional accounts can add up to 250 users, including employees and non-employees. ccess rights to the different functions in ccount anagement can be limited for each of those users. n addition, we also offer an authorization feature to institutional accounts wherein multiple users must approve certain ccount anagement requests, such as funding transactions. User ccess Rights vailability The complete User ccess Rights system, including the ability to select ecurity fficers and use authorizations, is available to the following account structures: Professional dvisors Brokers Proprietary Trading Groups und nvestment anagers mall Business ccounts (orporation, Partnership, LL or unincorporate legal structure) LL account structures have the ability to add users to an account and assign them access rights to ccount anagement functions EXEPT: Broker Non-Disclosed lients Broker mnibus lients Proprietary Trading Group ub ccounts User ccess Rights Guide 1

6 hapter 1 ccess Rights and ccess Groups ccess Rights and ccess Groups User access rights are organized into access groups that correspond to these ccount anagement menus: Trade unding Reports anage ccount ndividual account holders cannot grant unding rights to new users that they add. ecurity fficers for institutional accounts N however grant unding rights. Each access group contains several functions, which themselves correspond to the individual functions in ccount anagement. When assigning access rights to a user, you can assign access rights to an entire access group and all of its individual functions, or you can assign access rights to the individual functions themselves. ll account users automatically get rights to ecurity-related functions in ccount anagement (Password, ecure Login ystem, ecure Login ystem Device haring, and Voting ubscriptions), and the functions in the anage ccount > ettings access group (User nformation and hange ddress). ecurity fficers for account structures with multiple users and client accounts can grant limited access to a subset of user functions or accounts. or example, a ecurity fficer might want to give User the ability to only trade, while giving User B only the ability to look at account statements. User might only be able to trade client accounts 1-5, while User D can trade client accounts ssign user access rights to users when you add them to your account on the anage ccount > ccess Rights > Users page in ccount anagement. ecurity fficers The assignment of access rights to users is controlled by an organization's ecurity fficer. ecurity fficers are designated employees who can assign access rights and authorize functions. The ecurity User ccess Rights Guide 2

7 hapter 1 ecurity fficer pprovals fficer can also add, modify and delete users. nstitutional account holders can add ecurity fficers to their account during the account application process, if they require additional ecurity fficers for authorization purposes. To add ecurity fficers after your account is open, you must send a paper form request to us. ecurity fficer pprovals s an added layer of security, you can require that any changes made by one ecurity fficer be approved by one or two other ecurity fficers. To change the number of ecurity fficer approvals required, you must complete and submit a request form. ccount-level ccess Rights ecurity fficers can view account-level access rights on the ccess Rights > onfigure page in ccount anagement but cannot change them without a special request to us. User Roles user role is a set of user access rights saved with a unique name. User roles allow ecurity fficers (and individual account holders) to save a set of user access rights and quickly apply them to users. This is useful if you have multiple users to add to an account. User roles work the same way as user access rights: functions are organized into access groups based on the ccount anagement menu structure, and you expand each access group to view and assign rights to functions located in second-level menus. You can select a user role only if you have created and saved at least one. reate user roles on the anage ccount > ccess Rights > User Roles page in ccount anagement. Primary and econdary uthorizers f your organization requires additional security for ccount anagement functions, you can appoint authorizers to approve requests.uthorizers are users who provide additional layers of security for different ccount anagement functions such as funding requests. User ccess Rights Guide 3

8 hapter 1 User ccess Rights ummary There are two levels of authorizers: Primary and econdary. These levels of authorization let you match your organization's approval process to our ccount anagement system. Primary uthorizer is the highest level of approval while a econdary uthorizer is the next level of approval. or example, your E might be the Primary uthorizer and the might be the econdary uthorizer in your organization. You set up authorizations on the anage ccount > ccess Rights > onfiguration page in ccount anagement. Primary and econdary uthorizers authorize pending changes on the Home > Pending tems page. User ccess Rights ummary rganizations can follow these steps to set up a user access rights implementation that includes ecurity fficers and authorizations. 1. During your account application process, designate one or more persons to be ecurity fficers. o o o s the account owner, you are automatically designated as a ecurity fficer. f you forgot to do this, or you want to add more ecurity fficers to your account, send a request to us. f you need an additional layer of security, you can require that changes submitted by one ecurity fficer must be approved by other ecurity fficers. You set the number of these ecurity fficer approvals during the application process. 2. fter your account has been approved, your ecurity fficer logs into ccount anagement and creates and saves user roles to be able to apply reusable sets of access rights to more than one account users. 3. Your ecurity fficer adds users to your account, granting them access rights to the different functions in ccount anagement to correspond to the users and functions in your organization. t this time, the ecurity fficer will also apply any saved user roles to the new users. 4. Your ecurity fficer sets the number of Primary and econdary uthorizers for specific functions in ccount anagement. n the same page in ccount anagement, the ecurity fficer can view the current account-level access rights. User ccess Rights Guide 4

9 2 bout ecurity fficers The assignment of users and their access rights is controlled by an organization's ecurity fficer(s). ecurity fficers are designated employees who can assign access rights and authorize functions. The ecurity fficer can also add, modify and delete users. reating ecurity fficers During the ccount pplication Process During the account application process, the owner of the account (the account applicant; who is automatically assigned the role of ecurity fficer) can select additional ecurity fficers, then assign each ecurity fficer access rights to the various functions in ccount anagement. nly rganization customer type accounts can create security officers. f you need an additional layer of security, you can require that any changes made by one ecurity fficer be approved by one or two other ecurity fficers. You can set the number these ecurity fficer approvals during the application process. ny ecurity fficer can function as a ecurity fficer approver. dding and Deleting ecurity fficers To add ecurity fficers after your account is open, you can add a new user to your account and designate that user as a ecurity fficer, designate an existing user as a ecurity fficer (on the anage ccount > ccess Rights > Users page), or send a request to us. You can access the request form on the upport > Paper orms page of ccount anagement. You can delete ecurity fficers from your account on the anage ccount > ccess Rights > Users page of ccount anagement, but only if such removal does not change the number of required ecurity fficer approvals set in your account application. or example, if your account currently has three security fficers but requires only two, you can delete one of them from within ccount anagement. f your account currently has two ecurity fficers and requires two, you cannot delete one. User ccess Rights Guide 5

10 hapter 2 ecurity fficers and ccount anagement ecurity fficers and ccount anagement nce you have designated a ecurity fficer for your account, that person will have access rights to the ccount anagement functions that were assigned during the account application process. The ecurity fficer is the only person who can view and access the following security-related functions in ccount anagement: anage ccount > ccess Rights > onfiguration - View account-level access rights for an account and set the number of Primary and econdary uthorizers for ccount anagement, including funding. This function is available only to institutional accounts. anage ccount > ccess Rights > Users - dd, delete and modify users and assign access rights to ccount anagement functions. Note that individual accounts (ndividual, Joint, Trust, etc. customer types) also have access to this page. The ecurity and ccess rights menus in anage ccount, and the hange ddress function (these rights are preselected in the account application). User ccess Rights Guide 6

11 3 onfigure ccess Rights When your account is first opened, it will have the ability to access all functions in ccount anagement. ecurity fficers for your account use the ccess Rights onfiguration page to: View account-level access rights for your account. ccount-level access rights identify which functions your account can access. et the number of Primary/econdary authorizers required for ccount anagement functions. ccount access rights are organized into access rights groups that correspond to the ccount anagement menus. ccess to each function in an access rights group is displayed as either granted or denied. Denied functions will not appear in the ccount anagement menus. Because the account applicant is automatically a ecurity fficer, he or she has access to all functions in ccount anagement. When your account is first opened, account-level access rights to LL ccount anagement functions are granted by default. To change your account access rights, including granting or denying access to ccount anagement functions, you must send a request to us. Who can access the ccess Rights onfiguration page? You can access this page if you are a ecurity fficer for any institutional customer types. To view account access rights and set the number of primary and secondary authorizers 1. Log into ccount anagement. 2. lick anage ccount > ccess Rights. The onfiguration page appears by default. User ccess Rights Guide 7

12 hapter 3 onfigure ccess Rights The page displays the number of ecurity fficer approvals required for your account. This number indicates the number required to approve any changes made by a ecurity fficer. 3. To view account-level access rights, select any item in the ccess Right drop-down. ccess groups correspond to ccount anagement menus. Note that you cannot select the top-level menu in the drop-down. 4. The screen displays the total number of currently active authorizers for each function (remember, these correspond to pages in the corresponding ccount anagement menu). elect the number of required Primary and econdary authorizers for each function as required. User ccess Rights Guide 8

13 hapter 3 onfigure ccess Rights 5. f necessary, set the number or authorizers for dvisor/broker functions in the ccount nformation access group. o o o elect ccount nformation from the elect ccess Group drop-down. elect the number of required Primary and econdary authorizers for dvisor Qualifications, inancial nformation and Broker Declaration functions as required. lick ontinue when you are done. 6. ub and client account holders (who function as their own ecurity fficers) can assign accountlevel access rights to their aster Users. 7. f you are a sub or client account holder, select an access group from the drop-down, then select the check box in the aster User ccess column for each function that you want your aster User to be able to access. 8. lick ontinue to save your changes. You can view your pending changes to access rights configuration on the Home > Pending tems page. ove your mouse over those pending items to see a popup with Eligible ecurity fficers displayed: or more information User ccess Rights Guide 9

14 hapter 3 onfigure ccess Rights User's Guide User ccess Rights Guide 10

15 4 Users The Users page lets you: dd users to an account. odify ccount anagement access rights for existing users. dd up to two usernames for a user. Delete users from an account. dd a ecurity fficer ndividual ccount User Rules The following rules and limitations apply to ndividual accounts: User ccess Rights Guide 11

16 hapter 4 User nformation Displayed on User ccess Rights Page Up to two usernames may be created for the same person. Up to 5 persons may be added with a Power of ttorney, which will be provided when adding users to an individual account. ndividual dvisors may not add any persons other than themselves (they can have two usernames for themselves). Joint ccounts may add two usernames for each account holder. Trust accounts may add up to two usernames for each trustee. User nformation Displayed on User ccess Rights Page The User ccess Rights page displays information about all users registered with your account. olumn irst Name Last Name User Name Type ccessible Rights Description The user s first name. The user s middle initial. The user s last name. The user s user name. Depending on the type of account you have, this corresponds to the Type and Entity Relationship field on the dd New User and ccess Rights page. t could be Employee or Non-employee or a specific role in your company, such as E or Treasurer. lick View Rights to displays a popup summary of the user's access rights. tatus odify The status of the user. or example, pen or Pending onfirmation. Displays a odify link for users whose status is pen. lick this link to modify User ccess Rights Guide 12

17 hapter 4 dding a User olumn Description the users access rights. Delete Displays a Delete link. lick this link to delete the user from your account. or more information Users' Guide dding a User You can add users to your account and grant them access to a subset of ccount anagement functions, including granting access to functions for one or more sub accounts. You cannot grant access to unding functions to a new user. To add a user to the account 1. lick anage ccount > ccess Rights > Users. 2. lick dd User. User ccess Rights Guide 13

18 hapter 4 dding a User 3. n the dd User page, enter all required information, including name, six-character username prefix, password, and address. 4. n the same page, assign ccount anagement functions to the user by clicking the appropriate check boxes in the ccess Rights section. ccess groups correspond to ccount anagement menus. o o o o o To designate the user as a ecurity fficer, click the 'd like to have this person designated as a ecurity fficer. check box. To designate the user as an ccount Representative, select the 'd like to have this person designated as an ccount Representative check box. f you have created any User Roles, optionally select a User Role. The access rights saved with the User Role will be applied to the new user. lick an access group to expand the section, then click check boxes to grant access to individual functions. To grant access to all functions within an access group, click the check box next to the access group name. f a function is not checked, the user will not be able to access the function in ccount anagement User ccess Rights Guide 14

19 hapter 4 dding a User 5. f you are adding a user to a multiple account structure, when you click a check box for an ccess group or for an individual function inside an ccess group, the ssign ccounts box opens. Use the ssign ccounts box to select which accounts you want this user to be able to access for the selected function or group of functions. You can select: o o o o ll for all accounts, including the aster and all sub accounts; aster to grant access to only the aster account; ub ll to grant access to all sub accounts; ub pecific, to grant access to individual sub accounts. User ccess Rights Guide 15

20 hapter 4 dding a User lick ontinue to save your account assignments. ll account users automatically get rights to ecurity functions (Password, ecure Login ystem ecure Device haring, and Voting ubscriptions), which are located in the anage ccount > ecurity access group, and the functions in the anage ccount > ettings access group (User nformation and ddress). The following figure shows an example of an access rights configuration. n this example, a user is being granted access to all functions in the Trade and Reports > ctivity menus of ccount anagement. User ccess Rights Guide 16

21 hapter 4 dding a User 6. n the same page, you can select the accounts to which the access rights are assigned. o Highlight one or more individual sub/client accounts in the list (trl+ click to select multiple nonadjacent accounts in the list; hift+click to select multiple adjacent accounts in the list). lick the ll ub/lient ccounts check box to select LL accounts. 7. lick ontinue. 8. Verify that all the information is correct, then click ontinue. f you need to make further changes, click Back, then make corrections before submitting. 9. Enter the confirmation number sent to you via , then click ontinue. f you have not received a confirmation number, click Request onfirmation Number to have a confirmation number sent to your address on record. 10. lick ancel to cancel your changes. User ccess Rights Guide 17

22 hapter 4 Viewing Pending User ccess Rights Viewing Pending User ccess Rights lick Pending uthorization in the tatus column for any ecurity fficer listed to view a popup that displays the pending user access rights. Viewing Eligible ecurity fficers on Pending tems n the Users page, you can move your mouse over the tatus of any ecurity fficer listed with a status of Pending uthorization to see a popup with Eligible ecurity fficers displayed: You can view your pending changes to user access rights on the Home > Pending tems page. ove your mouse over those pending items to see a popup with Eligible ecurity fficers displayed: or more information Users' Guide User ccess Rights Guide 18

23 hapter 4 odifying User ccess Rights odifying User ccess Rights You can modify ccount anagement access rights for an existing user on the User ccess Rights page. or example, if you add a user to your account, you may want to modify the user's access rights at a later date. To modify access rights for an existing user 1. lick anage ccount > ccess Rights > Users. 2. lick the odify link next to the user whose access rights you want to modify. 3. n the next page, modify the access rights for the user by selecting or deselecting check boxes next to the available ccount anagement functions, including changing any authorization privileges you may have assigned or need to assign. o To designate the user as a ecurity fficer, click the 'd like to have this person designated as a ecurity fficer. check box. o To designate the user as an ccount Representative (or remove the designation from the user), o o select (or deselect) the 'd like to have this person designated as an ccount Representative check box. lick an access group to expand the section, then click check boxes to grant access to individual functions. To grant access to all functions within an access group, click the check box next to the access group name. f a function is not checked, the user will not be able to access the function in ccount anagement User ccess Rights Guide 19

24 hapter 4 odifying User ccess Rights 4. f you are modifying a user in a multiple account structure, click odify ccounts for any individual function inside an ccess group. The ssign ccounts box opens. Use the ssign ccounts box to change which accounts you want this user to be able to access for the selected function or group of functions. You can select: o o o o ll for all accounts, including the aster and all sub accounts; aster to grant access to only the aster account; ub ll to grant access to all sub accounts; ub pecific, to grant access to individual sub accounts. User ccess Rights Guide 20

25 hapter 4 dding Usernames to a User lick ontinue to save your account assignments. 5. Verify that all the information is correct, then click ontinue. f you need to make further changes, click Back, then make corrections before submitting. 6. Enter the confirmation number sent to you via , then click ontinue. f you have not received a confirmation number, click Request onfirm to have a confirmation number sent to your address on record. 7. lick ancel to cancel your changes. or more information Users' Guide dding Usernames to a User ccount anagement lets you assign up to two usernames for each individual user. or example, an individual user might want to add a second user name in order to log in on two different machines for testing purposes. To add a username for a user 1. lick anage ccount > ccess Rights > Users. User ccess Rights Guide 21

26 hapter 4 dding Usernames to a User 2. lick the 2nd User link next to the user for whom you want to add a second user name. 3. n the next page, enter information for the second username, then click Back. 4. Verify that all the information is correct, then click ontinue. f you need to make further changes, click Back, then make corrections before submitting. 5. Enter the confirmation number sent to you via , then click ontinue. f you have not received a confirmation number, click Request onfirmation Number to have a confirmation number sent to your address on record. 6. lick ancel to cancel your changes. or more information User ccess Rights Guide 22

27 hapter 4 Deleting a User Users' Guide Deleting a User To delete a user from the account 1. lick anage ccount > ccess Rights > Users. 2. lick the Delete link next to the user you want to delete. ccount anagement access for that user is disabled instantly and Trading ccess is disabled by the next calendar day. dd a ecurity fficer You can add ecurity fficers after your account is open by: dding a new user to your account and designating that user as a ecurity fficer. Designating an existing user as a ecurity fficer by modifying the user's access rights. ending a request to us. You can access the request form on the upport > Paper orms page of ccount anagement. User ccess Rights Guide 23

28 User ccess Rights Guide 24

29 5 User Roles user role contains a set of access rights to ccount anagement functions. You can quickly assign access rights to new users by selecting an existing user role when you add the new users to your account. or example, you could create a user role that has access only to funding and reporting functions, then add a user to your account and assign the funding/reporting role to that new user. The User Roles page lets you: dd a new user role odify a user role Delete a user role View user role details Who can access the User Roles page? ll users and ecurity fficers can access this page except Broker Non-Disclosed lients and Broker mnibus lients. or more information Users' Guide dding a User Role To add a user role to the account 1. lick anage ccount > ccess Rights > User Roles. User ccess Rights Guide 25

30 hapter 5 odifying a User Role 2. lick dd Role. 3. Enter the name of the new user role in User Role Name field. 4. ssign ccount anagement functions to the user role by clicking the appropriate check boxes in the ccess Rights section. ccess groups correspond to ccount anagement menus. o lick an access group to expand the section, then click check boxes to grant access to individual functions. 5. To grant access to all functions within an access group, click the check box next to the access group name. f a function is not checked, any user that you add to your account with this user role will not have access to the function in ccount anagement. 6. lick ontinue. 7. Verify that the access rights assignments are correct, then click ontinue. 8. onfirm your request for the creation of the new user role by entering the confirmation number that we sent to your address of record into the field provided. 9. lick ontinue. or more information Users' Guide odifying a User Role You can modify a user role if you want User ccess Rights Guide 26

31 hapter 5 Deleting a User Role To add a user role to the account 1. lick anage ccount > ccess Rights > User Roles. 2. lick the odify link next to the user role you want to modify. 3. n the next page, modify the access rights for the user role by selecting or deselecting check boxes next to the available ccount anagement functions, including changing any authorization privileges you may have assigned or need to assign. lick ontinue. 4. Verify that all the information is correct, then click ontinue. f you need to make further changes, click Back, then make corrections before submitting. 5. Enter the confirmation number sent to you via , then click ontinue. f you have not received a confirmation number, click Request onfirm to have a confirmation number sent to your address on record. 6. lick ancel to cancel your changes. or more information Users' Guide Deleting a User Role You can delete a user role when it is no longer needed. To delete a user role 1. lick anage ccount > ccess Rights > User Roles. 2. lick the Delete link next to the user role you want to delete. The user role is deleted from the system. View User Role Details To view user role details 1. lick anage ccount > ccess Rights > User Roles. User ccess Rights Guide 27

32 hapter 5 View User Role Details 2. lick the View Role nfo link in the ction column for a specific role. The Role Details popup window opens, showing the details for the role. 3. To close the popup window, click the X in the upper right corner. User ccess Rights Guide 28

33 6 ccess Rights Reference This section lists all ccount anagement pages and the account types that can access them. The information is organized by menu: Home Trade Reports unding anage ccount anage lients/unds/traders nvestors' arketplace upport Home enu ccess Rights ll users and account structures can access the Home page and its tabbed pages. Page - B - B- B- B- BN- B- - PTG- PTG- LL- ummary nly if user has Trading or Reports. Pending tems essage enter orporate User ccess Rights Guide 29

34 hapter 6 Home enu ccess Rights Page - B - B- B- B- BN- B- - PTG- PTG- LL- ctions nly if user has Trading or Reports. ccount tructures Key B B B B BN B PTG ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with electronic access) Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster User ccess Rights Guide 30

35 hapter 6 Trade enu ccess Rights PTG LL Proprietary Trading Group ub llocator Trade enu ccess Rights The following table lists all access rights to the Trade menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Quick Trade WebTrader Post- Trade llocation - B - B- B- B- BN- B- - PTG- PTG- LL- 1 nteractive Brokers customers who are ccredited nvestors or Qualified Purchasers under E rules can invest in independent Hedge unds available on the Hedge und nvestor ite page. ccount tructures Key B ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with elec- User ccess Rights Guide 31

36 hapter 6 Reports enu ccess Rights tronic access) B B B BN B PTG PTG LL Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub llocator Reports enu ccess Rights The following table lists all access rights to the Reports menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- ctivity tatements Downloads Batch Reports lex Queries Quarterly ummaries odels Trade onfirmations User ccess Rights Guide 32

37 hapter 6 Reports enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Reports lex Queries Trade llocations Transaction ost nalysis Portfolionalyst Portfolionalyst Risk argin Reports tress Test Report Value at Risk Report upplemental ompliance ee ap Broker Exception lient ummary P/L arkup ee nvoice User ccess Rights Guide 33

38 hapter 6 Reports enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Broker lient Revenue and Expense ummary Tax Tax orms Tax ptimizer 2 Position Transfer Basis 1 orex ost Basis ustomer ctivity onitor ettings Delivery ctivity tatements/trade onfirmations 3 lert lex Queries 3 Portfolionalyst Delivery ettings User ccess Rights Guide 34

39 hapter 6 Reports enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Broker lient ctivity tatements 4 lex Web ervice Third-Party ervices Trader D lient T ettings - B - B- B- B- BN- B- - PTG- PTG- LL- 1 aster users cannot set the position transfer basis for client/sub accounts. 2 aster users cannot set the tax basis for client/sub accounts. 3 aster users cannot enter delivery settings for client/sub accounts. 4 nly Broker aster users with non-disclosed clients can enter delivery settings for client statements. ccount tructures Key B ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with elec- User ccess Rights Guide 35

40 hapter 6 unding enu ccess Rights tronic access) B B Broker aster Broker ully Disclosed lient (ndividual, Joint, R) B Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) BN B PTG PTG LL Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub llocator unding enu ccess Rights The following table lists all access rights to the unding menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Transaction History und Transfers 1 Position Transfers 2 Position nstructions ettlement nstructions 3 oft Dollars Dis- User ccess Rights Guide 36

41 hapter 6 unding enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- bursements 4 - B - B- B- B- BN- B- - PTG- PTG- LL- 1 Deposits: dvisor aster Users can create a deposit notification for a client account but must use a bank instruction created by the client. Proprietary Trading Group aster Users and Non-Disclosed and mnibus Broker aster Users make all deposits to the master account, then transfer funds to the sub/client accounts. Broker aster Users can enter only wire and check deposit notifications for their client accounts. Withdrawals: dvisor aster Users can make withdrawals from client accounts, but must use a bank instruction created by the client account. Proprietary Trading Group aster Users and Broker aster Users create bank instructions and make all withdrawals only from the master account. nternal fund transfers: ll master users can transfer funds to their client/sub accounts. n addition, eparate Trading Limit accounts can transfer funds between the master and sub account in either direction and between sub accounts, and Non-Disclosed Broker aster Users can transfer funds between the master and sub accounts in either direction. 2 aster User access rights for position transfers are the same as deposits (see Note 1 above). n addition, Non-Disclosed Broker aster Users can transfer positions of any asset class between the master account and its sub accounts. 3 dvisor, Broker and Proprietary Trading Group aster Users can enter settlement instructions only for their own account; they cannot enter settlement instructions for their client/sub accounts. dvisor aster Users can print a settlement instruction PD which must be sent to their client for signature and mailed to us for verification. 4 dvisors who are registered either by the E or the state must abide by the rules specified in ection 28(e) (safe harbor) of the ecurities Exchange ct. ccount tructures Key B ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with elec- User ccess Rights Guide 37

42 hapter 6 anage ccount enu ccess Rights tronic access) B B B BN B PTG PTG LL Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub llocator anage ccount enu ccess Rights The following table lists all access rights to the anage ccount menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- ccount nformation Details ccount Details Profile inancial nformation Regulatory nformation Trading ub User ccess Rights Guide 38

43 hapter 6 anage ccount enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- ccounts Broker Declaration dvisor Qualifications nvestor ategory Transfer on Death 1 Large Trader dentification ER and LE nformation 7 Tax nformation Tax orms Withholding tatement ettings onfigure ccount Base urrency 2 nstitutional ervices ccount Type Excess unds weep ees User ccess Rights Guide 39

44 hapter 6 anage ccount enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Pricing tructure oft Dollar onfiguration obile R onversion Re-characterization Paper Trading ccount lias White Branding lose ccount 3 lose ccount Reopen ccount 8 losure tatus 8 Trade onfiguration Ds and etals User ccess Rights Guide 40

45 hapter 6 anage ccount enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Research arket Data ubscriber tatus Trading Limits Restrictions B Ys lerts lient Trading utures rbitration greement sia Gateway ecurity ndividual P Restrictions hange Password 3 Reset Paper Trading ccount Password hange ddress 3 User ccess Rights Guide 41

46 hapter 6 anage ccount enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- ecure Login ystem ecurity Device 3 hange ecurity Questions 10 ecurity Device haring 3 L pt ut lient ecurity 4 Voting ubscriptions 3 ccess Rights onfiguration 5 Users User Roles dd or Link ccounts reated Linked ccount Link Existing ccount 6 ove, Link or Partition an ccount 9 User ccess Rights Guide 42

47 hapter 6 anage ccount enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- uthorized Traders 11 oney anager dministration Wealth anager dministration - B - B- B- B- BN- B- - PTG- PTG- LL- 1 vailable to ndividual non-r account users only. 2 Proprietary Trading Group asters can change the base currency of their client/sub accounts. 3 aster users cannot access this page for client/sub accounts. 4 Non-disclosed Broker asters can activate a client's security device but only if the Broker aster distributed the device to the client. 5 nly ecurity fficers can access the ccess Rights > onfiguration page. ccount owners are automatically designated as ecurity fficers. 6 ndividual accounts (except Joint and Trust), R accounts, ully Disclosed Broker clients and dvisor individual clients can link their multiple accounts under a single username and password. 7 nly non-individual accounts established in the European Union will see this page. 8 Reopen ccount and losure tatus are available to only to closed accounts. 9 dvisor aster Users, ultiple Hedge und nvestment anagers and Proprietary Trading Group TL aster Users can link to a Broker only on this page. 10 ndividuals must be participating in our ecure Login ystem (two-factor authentication) and their account equity must be less than 1,000,000 UD. 11 ndividual and Joint account holders under an advisor can add authorized traders to become TL accounts. ccount tructures Key B ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses User ccess Rights Guide 43

48 hapter 6 anage lients/anage unds/anage Traders enu ccess Rights B B B BN B PTG PTG LL riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with electronic access) Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub llocator anage lients/anage unds/anage Traders enu ccess Rights The following table lists all access rights to the anage lients/anage unds/anage Traders menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- Dashboard User ccess Rights Guide 44

49 hapter 6 anage lients/anage unds/anage Traders enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- reate and Link ccounts reate New Duplicate lient ccount Templates Household Link lient ccounts lose ccount 5 losure tatus Traders New uthorized Trader lose ccount 4 losure tatus ees onfigure Templates User ccess Rights Guide 45

50 hapter 6 anage lients/anage unds/anage Traders enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- nvoicing arkup ummary HP ees ettings ccount lias Excess unds weep Trading Base urrency 1 ccount Type onfiguration (lient Trading) Permissions 2 Restrictions 3 Limits ecurity udit Trail Users User ccess Rights Guide 46

51 hapter 6 anage lients/anage unds/anage Traders enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- R - B - B- B- B- BN- B- - PTG- PTG- LL- 1 Non-disclosed Broker asters and Proprietary Trading Group TL ccount asters can change the base currency of their client/sub accounts. 2 Non-disclosed Broker asters can modify the trading configuration of client accounts. dvisor asters (ndividual and rganization), and und nvestment anagers can only view the trading configuration of client accounts. 3 EmployeeTrack ompliance fficers and also access the Trading Restrictions page. 4 Non-disclosed Broker asters and Proprietary Trading Group TL ccount asters can close a client or sub account. ccount tructures Key B B B B BN B PTG ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with electronic access) Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster User ccess Rights Guide 47

52 hapter 6 nvestors' arketplace enu ccess Rights PTG LL Proprietary Trading Group ub dministrator llocator nvestors' arketplace enu ccess Rights The following table lists all access rights to the nvestors' arketplace menu pages by account structure. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- earch ervices nvesting dvisors Brokers Hedge unds Research Research Education & oaches News eeds Trading Publications Technology oftware Vendors oney anager Programming onsultants User ccess Rights Guide 48

53 hapter 6 nvestors' arketplace enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- dministration ccountant arketplace dministrator arketplace uditor arketplace ompliance arketplace arketplace Tax irms arketplace anage Legal ervices dministrators Business Development dvertising Business nalysts inancing irms areers 2 orporate ccess Providers dvertise ervices nvesting User ccess Rights Guide 49

54 hapter 6 nvestors' arketplace enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- dvisors Brokers Hedge und apital ntroduction Program Hedge und apital ntroduction (3rd Party dmins) Research Research pplication Education & oaches pplication Technology oftware Vendors pplication Programming onsultant pplication dministration arketplace nformation anage lients Business Development User ccess Rights Guide 50

55 hapter 6 nvestors' arketplace enu ccess Rights Pages - B - B- B- B- BN- B- - PTG- PTG- LL- dvertising pplication Business nalyst pplication inancing pplication areer pplication orporate ccess Providers Pages B B B B BN B PTG PTG LL 1 nteractive Brokers customers who are ccredited nvestors or Qualified Purchasers under E rules can invest in independent Hedge unds available on the Hedge und nvestor ite page. 2 nly dvisors, Brokers, Proprietary Trading Group aster Users and Hedge und nvestment anagers can view job seekers or post jobs at the Jobs arketplace in ccount anagement. Job seekers are not visible at the nvestors' arketplace on our website. ccount tructures Key B B B ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with electronic access) Broker aster Broker ully Disclosed lient (ndividual, Joint, R) User ccess Rights Guide 51

56 hapter 6 upport enu ccess Rights B BN B PTG PTG LL Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub dministrator llocator upport enu ccess Rights ll users and account structures can access the upport menu. Pages - B - B- B- B- BN- B- - PTG- PTG- LL- essage enter Live hat Knowledge Base Tools ystem tatus ontacts ervice Tips Paper orms - B - B- B- B- BN- B- - PTG- PTG- LL- User ccess Rights Guide 52

57 hapter 6 Reference enu ccess Rights ccount tructures Key B B B B BN B PTG PTG LL ndividual, Joint, Trust and R account users orporate, Partnership, LL and Unincorporated Businesses riends and amily Group account users dvisor aster ndividual dvisor aster rganization (orporate, Partnership, LL, Unincorporated business) dvisor lient ndividual (ndividual, Joint, R with electronic access) dvisor lient rganization (orporate, Partnership, LL, Unincorporated business with electronic access) Broker aster Broker ully Disclosed lient (ndividual, Joint, R) Broker ully Disclosed lient rganization (orporate, Partnership, LL, Unincorporated business) Broker Non-Disclosed lient Broker mnibus lient und nvestment anager aster und Proprietary Trading Group aster Proprietary Trading Group ub llocator Reference enu ccess Rights ll users and account structures can access the Reference menu. User ccess Rights Guide 53

58 User ccess Rights Guide 54

59 ndex access rights unding menu 36 anage ccount menu 38 Reference menu 53 Reports menu 32 upport menu 52 to Home menu 29 Trade menu 31 user roles 25 access rights availability 1 access rights configuration 7 access rights overview 1 ccess Rights Reference 29, 44 ccess Rights Referene 48 ccount anagement access by account type 29 adding a second username 21 adding a ecurity fficer 23 adding a user 13 adding a user role 25 assigning access rights to new users 13 configuring access rights 7 D deleting a user 23 deleting a user role 27 E eligible security officers 18 unding menu access rights 36 H Home menu access rights 29 individual account user rules 11 introduction to access rights 1 nvestors' arketplace access rights 48 anage ccount menu access rights 38 anage lients access rights 44 User ccess Rights Guide 55

60 ndex anage unds access rights 44 anage Traders access rights 44 modifying user access rights 19 modifying user roles 26 overview of security officers 5 P pending user access rights 18 R Reference menu access rights 53 Reports menu access rights 32 second username 21 ecurity fficer adding 23 ecurity fficers 2, 5, 7 upport menu access rights 52 T Trade menu access rights 31 U user access rights 1 user information on User ccess Rights page 12 user roles 3, 25 adding 25 deleting 27 modifying 26 user rules for individual accounts 11 users adding to your account 13 deleting 23 users and access rights 11 adding a user 13 Users page 11 users roles view details 27 V view user role details 27 viewing eligible security officers on pending items 18 W who can configure access rights 1 modifying 19 User ccess Rights Guide 56