2021071984801 Interactive Brokers LLC CRD 36418 AWC lp (2025-1758414003056).pdf
Between November 2019 and December 2024, Interactive Brokers failed to exercise
reasonable due diligence before approving certain customer accounts that were not
managed or advised by financial advisors or other third-parties (Self-Directed Customers)
to trade options. During this period, the firm used a primarily automated system to
approve or disapprove customers for options trading.
13808. Accelerated Processing
(a) Requests for Accelerated Processing
(1) A party may request accelerated processing of a case when initiating an arbitration pursuant to Rule 13302 or filing an answer pursuant to Rule 13303, provided that the party making the request:
12808. Accelerated Processing
(a) Requests for Accelerated Processing
(1) A party may request accelerated processing of a case when initiating an arbitration pursuant to Rule 12302 or filing an answer pursuant to Rule 12303, provided that the party making the request:
