美国微型市值股票限制

简介
为遵守非注册证券卖出相关法规、最小化非公开报价证券交易过程中的人工处理,IBKR对美国微型市值股票实施了一定限制。下方列出了该等限制以及与此话题相关的其它常见问题。 

微型市值股票限制

  • IBKR将接受来自符合条件之客户的美国微型市值股票转账。符合条件的客户包括:(1) 资产(转账前或转账后)不低于500万美元的账户,或资产规模不低于2000万美元的财务顾问的客户;并且(2) 美国微型市值股票投资占比不到其账户资产的一半。
  • IBKR将只接受符合条件的客户能够确认股票系从公开市场买入或已在美国证监会(SEC)进行过注册的美国微型市值股票的大宗转账1
  • IBKR不接受客户被OTC标记为“买者自负”或“灰色市场”的美国微型市值股票转账1或开仓委托单。持有该等股票仓位的客户可以进行平仓;
  • IBKR不接受为了回补在IBKR的空头仓位而进行的美国微型市值股票转账;
  • 仅执行客户(即只通过IBKR执行交易,但在别处清算)不能在其IBKR账户中交易美国微型市值股票。(IBKR可对在美国注册的经纪商例外对待);


微型市值股票常见问题

什么是美国微型市值股票?
“微型市值股票”是指市值介于5000万美元到3亿美元之间并且价格低于5美元一股的(1) 场外交易股票或(2) Nasdaq和NYSE American挂牌股票。就该政策而言,微型市值股票包括市值等于或低于5000万美元的美国上市公司股票,这种股票有时也被称为纳级股或者是在与微型市值股票相关的市场上交易。

为避免股价短期小幅波动导致股票被反复重新分类,所有被分类为美国微型市值股的股票只有在其市值和股价连续30天均分别超过5亿美元和5美元的情况下才会重新分类。

微型市值股票通常股价很低,常常被称为仙股。IBKR也可设置例外,包括对股价低但近期市值上涨的股票。此外,IBKR不会将非美国公司的ADR视作微型市值股票。

微型市值股票在哪里交易?
微型市值股票通常在OTC市场而非全国性证券交易所交易。其通常由做市商在OTC系统(如OTCBB)和OTC Markets Group管理的市场(如OTCQX、OTCQB和Pink)以电子方式报价。该类别下还包含非公开报价的股票和被指定为“买者自负”、其它OTC或“灰色市场”的股票。

此外,美国监管部门也将在Nasdaq和NYSE American挂牌、价格等于或低于5美元一股且市值等于或低于3亿美元的股票视为微型市值股票。


如果IBKR收到来自符合条件之客户的转仓,其中一个或多个仓位是微型市值股票,会怎么样?
如果IBKR收到包含微型市值股票的转仓,IBKR有权限制其中任何微型市值股票仓位的卖出,除非符合条件的客户能够提供适当的文件证明该等股票系在公开市场买入(即通过其它经纪商在交易所买入)或者该等股票已经根据S-1或类似股票注册声明表在美国证监会进行过注册。

符合条件的客户可以通过提供经纪商给出的能够反映股票买入交易的经纪报表或交易确认来证明股票确实是在公开市场上买入。符合条件的客户也可以通过提供其股票在美国证监会(Edgar系统)进行注册的备案号(以及任何可证明股票就是注册声明上所列股票的文件)来证明股票已经过注册。

注意:所有客户随时都可转出我们对其实施了限制的股票。

IBKR对主经纪账户有什么限制?
活动包含主经纪服务的客户在IBKR同意接受的来自其执行经纪商的交易方面被视为符合条件的客户。然而,尽管主经纪账户可以在IBKR清算美国微型市值股票,但在IBKR确认股票根据上述程序可以卖出之前,相关股票将受到限制。要为在公开市场上买入的股票移除限制,请提供执行经纪商出具的正式账户报表或交易确认,或者让执行经纪商提供有公司抬头的显示IBKR账户名称和账户号码的签字函件,函件应说明股票系从公开市场买入并应提供交易执行的详细信息(日期、时间、数量、代码、价格和交易所)。如果股票是通过发行取得,则函件必须提供相关注册声明文件或链接并说明该等股票是发行股票的一部分。

总结:如果多头仓位不再受到限制则可以接受卖出多头交易。卖出空头交易可以接受。买入多头交易可以接受,但仓位将被限制,直到向合规部门提供足够资料将限制移除。不接受买入补仓交易和日内轧平交易。


如果您买入的股票被重新分类为“灰色市场”或“买者自负”股票怎么办?

如果您在IBKR账户中买入的股票之后被分类为“买者自负”或“灰色市场”股票,您将可以继续持有仓位、平仓或转仓,但无法增加持仓。


我账户中微型市值股票交易受到限制的原因是什么?
您被限制交易微型市值股票的主要原因有两个:

  • 与发行方存在潜在关联:美国证监会规则144对发行人的关联方交易股票(包括微型市值股票)有一定限制。如果IBKR发现微型市值股票交易活动或持仓接近规则144规定的交易量阈值(“规则144阈值”),则IBKR会限制客户交易该微型市值股票,直到完成合规审查。
  • 微型市值股票转仓:如果客户近期将微型市值股票转入其IBKR账户,IBKR会限制客户交易该证券,直到完成合规审查。

如果符合其中一种情况,相关证券交易会受到限制,客户会在账户管理的消息中心下收到相应通知。该通知将说明限制的原因以及客户为了解除限制必须采取的措施。


为什么IBKR将我视为微型市值股票发行方的潜在关联方?
“关联方”是与发行方存在控制关系的人士,如执行官、董事或大股东。

规则144适用于包括微型市值股票在内的所有证券。但是,鉴于交易微型市值股票涉及高风险,如果客户的微型市值股交易和/或持仓接近规则144阈值,IBKR将限制客户交易该微型市值股票。该等限制在合规对客户的潜在关联方身份进行审核并作出决定之前将保持生效。

对于潜在关联方审核,为什么我需要要求每两周进行一次新的审核?
客户的关联方身份可能会在IBKR完成上述潜在关联方审核后很快发生变化。因此,IBKR认为如果客户的的微型市值股交易和/或持仓仍然接近规则144阈值,每两周刷新一下潜在关联方审核较为合适。

哪里可以查看IBKR指定为美国微型市值股的股票列表?
请打开以下链接:www.ibkr.com/download/us_microcaps.csv

请注意,此列表每日更新。

哪里可以了解更多有关微型市值股票的信息?
有关微型市值股票的更多信息,包括其相关风险,请参见美国证监会网站:https://www.sec.gov/reportspubs/investor-publications/investorpubsmicrocapstockhtm.html
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1包括任何方式的转账(如ACATS、DWAC、FOP)、通过“南向(Southbound)”转账将加拿大挂牌股票转成美国股票的转换、为回补空头仓位进行的转账、在其它经纪商执行但在IBKR清算的IB主经纪服务客户等。

 

如何用手机向IBKR发送文件

Overview: 

即使您一时无法扫描文件,盈透证券也支持您给我们发送文件副本。您可以用手机将所需文件拍下来。

下方介绍了在不同手机操作系统下如何拍照并将照片通过电子邮件发送给盈透证券的详细步骤:

如果您已经知道如何拍照并通过电子邮件发送图片,请点击此处——电子邮件应该发送到哪里以及邮件主题应该写什么

 

iOS
1. 从手机屏幕的底部向上滑,然后点击相机图标。

如果没找到相机图标,您可以从iPhone主屏幕点击相机应用程序图标。

通常情况下打开的应该是后置摄像头。如果打开的是前置摄像头,请点击摄像头切换按钮。


2. 将手机移到文件上方,镜头对准需要的位置或页面。

 

3. 确保光线均匀、充足,避免因为拿手机的姿势在文件上投下任何阴影。手机拿稳,防止抖动。点击拍照按钮拍照。

 

4. 点击左下角的缩略图查看您刚刚拍的照片。


5.  确保照片清晰,文件字迹清楚。您可以用两个手指在图片上划开来放大图片查看细节。

如果图片质量或亮度不好,请重复上述步骤重新拍照。


6. 点击屏幕左下角的分享图标。



7. 点击电子邮件图标。

注意:要发送电子邮件,您的手机必须有相应配置。如果不知道如何配置,请联系您的电子邮件供应商。

 

8. 请参见此处了解如何填写电子邮件收件人(To:)和主题(Subject:)。填写完毕后,点击右上方的向上箭头发送邮件。

 


安卓
1. 打开应用程序列表,启动相机应用程序。或者直接从手机主屏幕启动相机。取决于您的手机型号、制造商或设置,相机应用程序的叫法可能有所不同。

通常情况下打开的应该是后置摄像头。如果打开的是前置摄像头,请点击摄像头切换按钮。

 

2. 将手机移到文件上方,镜头对准需要的位置或页面。

 

3. 确保光线均匀、充足,避免因为拿手机的姿势在文件上投下任何阴影。手机拿稳,防止抖动。点击拍照按钮拍照。


4.  确保照片清晰,文件字迹清楚。您可以用两个手指在图片上划开来放大图片查看细节。

如果图片质量或亮度不好,请重复上述步骤重新拍照。


5. 点击屏幕右下角的空白圈圈图标。   

 

6. 点击屏幕左下角的分享图标。


7. 在显示的分享菜单中点击手机上安装好的电子邮件客户端的图标。下图显示的是Gmail,但手机设置不同,电子邮件程序也会不同。

注意:要发送电子邮件,您的手机必须有相应配置。如果不知道如何配置,请联系您的电子邮件供应商。

8. 请参见此处了解如何填写电子邮件收件人(To:)和主题(Subject:)。填写完毕后,点击右上方的飞机图标发送邮件。

 


电子邮件应该发送到哪里以及邮件主题应该写什么
应按照以下说明发送邮件:
1. 在收件人(To:)字段,输入:

  •   newaccounts@interactivebrokers.com(如果您是非欧洲国家居民)
  •   newaccounts.uk@interactivebrokers.co.uk(如果您是欧洲国家居民)

2. 主题(Subject:)字段必须注明所有以下信息:

  •     您的账户号码(通常格式为Uxxxxxxx,其中x是数字)您的用户名
  •     发送文件的目的。请采用以下惯例:
    • 居住地证明请写PoRes
    • 身份证明请写PID

 

资金转账限制

简介

作为反洗钱工作的一部分,IBKR会对某些客户存款和取款实施限制。该等限制针对的是具有较高反洗钱风险之国家相关的转账,同时会考虑客户的居住地、取款目的地和转账资金的计价币种等因素。1下方对该等限制进行了简要介绍。

 

限制概述

  • 在被认定为具有较高反洗钱风险之国家居住或拥有联系地址的客户不得将资金取到位于另一具有较高反洗钱风险之国家的账户,除非其在该国也有联系地址。
  • 在被认定为具有较高反洗钱风险之国家居住或拥有联系地址的客户不得从位于另一具有较高反洗钱风险之国家的账户发起存款,除非其在该国也有联系地址。
  • 在被认定为具有较高反洗钱风险之国家居住或拥有联系地址的客户只能将资金取到其曾从中收到过存款的账户。
  • 客户只能以其基础货币、其本国货币或通用货币(如USD、EUR、HKD、AUD、GBP、CHF、CAD、JPY和SGD)取款。
  • IBKR会对客户取款的目标银行数目进行限制,不论客户或银行的所在国家或地区。

请注意,客户如果要创建被限制的网上银行指令或发起被限制的存款或取款,系统会阻止其操作并报错。

 

1在确定一个国家是否具有较高反洗钱风险时,参考的是金融行动特别工作组(FATF)提供的信息。金融行动特别工作组是一个政府间国际组织,致力于打击洗钱、恐怖主义融资和其它对国际金融体系完整与公开反洗钱指数构成威胁的行为。

Funds Transfer Restrictions

INTRODUCTION

As part of its anti-money laundering efforts, IBKR implements restrictions on certain client deposits and withdrawals. These restrictions apply to transfers associated with countries considered to have elevated AML risk and consider factors such as the client’s residency, the withdrawal destination and the denomination of the currency being transferred.1 An outline of these restrictions is provided below.

 

OVERVIEW OF RESTRICTIONS

  • Clients residing or maintaining an address in a country designated as having elevated AML risk may not withdraw funds to an account located in another country that has elevated AML risk unless they also maintain an address in that country.
  • Clients residing or maintaining an address in a country designated as having elevated AML risk may not deposit funds from an account located in another country having elevated AML risk unless they also maintain an address in that country.
  • Clients residing or maintaining an address in a country designated as having elevated AML risk may only withdraw funds to an account from which that client received a first-party deposit.
  • Clients may only withdraw funds in their base currency, their home country’s currency or common currencies (e.g. USD, EUR, HKD, AUD, GBP, CHF, CAD, JPY and SGD).
  • IBKR may restrict the number of banks that a client may send money to, regardless of the domicile of the client or the bank.

Note that clients who attempt to create an online banking instruction or initiate a deposit or withdrawal which is restricted will be blocked from creating that instruction or initiating that transaction and will be presented with an online error message.

 

1In determining whether a country is associated with elevated AML risk, consideration is given to information provided by the Financial Action Task Force (FATF), an intergovernmental organization which promotes measures for combating money laundering, terrorist financing and other related threats to the integrity of the international financial system and other public AML indices.

Deposit Funds with IBKR Mobile Check Deposit

Overview: 

US clients using IBKR Mobile with IB Key two-factor authentication can deposit endorsed checks drawn on a US bank into their account from anywhere using Mobile Check Deposit.

Mobile Check Deposit is NOT supported for: IRAs, MMCs, partitioned accounts or Advisor Masters (Advisors cannot deposit into client accounts).

To use Mobile Check Deposit:

  • You must be a US client.
  • The check must be drawn on a US bank.
  • The check must be properly endorsed.
  • You must have IBKR Mobile installed on your phone.
  • You must have activated IB Key two-factor authentication on the IBKR Mobile app.
  • It must not be your first deposit.

To find out more about how to install IBKR Mobile, visit the IBKR Mobile web page.

For information on how to activate IB Key on IBKR Mobile, see the Users’ Guide:
Using Mobile Check Deposit
Once you have installed IBKR Mobile and activated IB Key, you can use IBKR Mobile to deposit checks into your account.
  1. Log into IBKR Mobile, and tap More to open the menu.
  2. In the top left corner, tap Services, and then select Banking.
  3. From the Banking menu, select Deposit Check and if necessary read and accept the disclosure.
  4. Set up your deposit:
    • a. If you hold multiple accounts with IBKR, select the account for the deposit in the Deposit to field.
    • b. Enter the amount of the deposit in the Amount field.
    • c. Scan the front and back of your check using the camera function on your phone. You may be asked to allow IBKR Mobile to access your camera. Please be sure that you have properly endorsed your check.
  5. When you are satisfied with your scanned images, tap Deposit Check at the bottom of the screen.
  6. Validate with IB Key as required.
Timelines and Limitations
  • Once the deposit has been approved and processed, the funds are deposited into your IBKR account. Funds are generally available to use within six (6) business days after the deposit has been approved.
  • Currently available for US clients and for checks drawn on US banks.
  • Requires active IB Key protocol for two-factor authentication.
  • To find out the daily limit and 30 day limit on check deposits, tap “What is my daily limit?” on the Deposit Check screen.

U.S. Microcap Stock Restrictions

Introduction
To comply with regulations regarding the sale of unregistered securities and to minimize the manual processing associated with trading shares that are not publicly quoted, IBKR imposes certain restrictions on U.S. Microcap Stocks. A list of those restrictions, along with other FAQs relating to this topic are provided below. 

Microcap Restrictions

  • IBKR will only accept transfers of blocks of U.S. Microcap stocks from Eligible Clients. Eligible Clients include accounts that: (1) maintain equity (pre or post-transfer) of at least $5 million or, clients of financial advisors with aggregate assets under management of at least $20 million; and (2) have less than half of their equity in U.S. Microcap Stocks.
  • IBKR will only accept transfers1 of blocks of U.S. Microcap Stocks where the Eligible Client can confirm the shares were purchased on the open market or registered with the SEC;
  • IBKR will not accept transfers1 of or opening orders for U.S. Microcap Stocks designated by OTC as Caveat Emptor or Grey Market from any client. Clients with existing positions in these stocks may close the positions;
  • IBKR will not accept transfers of U.S. Microcap Stocks to cover a short position established at IBKR;
  • Execution-only clients (i.e., execute trades through IBKR, but clear those trades elsewhere) may not trade U.S. Microcap Stocks within their IBKR account. (IBKR may make exceptions for U.S.-registered brokers);


Microcap FAQs

What is a U.S. Microcap Stock?
The term “Microcap Stock” refers to shares (1) traded over the counter or (2) that are listed on Nasdaq and NYSE American that have a market capitalization of between $50 million to $300 million and are trading at or below $5. For purposes of this policy, the term Microcap Stock will include the shares of U.S. public companies which have a market capitalization at or below $50 million, which are sometimes referred to as nanocap stocks or trade on a market generally associated with Microcap Stocks.

To avoid situations where minor, short-term fluctuations in a stock price cause repeated reclassification, any stock classified as U.S. Microcap will remain in that classification until both its market capitalization and share price exceed $300 million and $5, respectively, for a 30 consecutive calendar day period.

As Microcap Stocks are often low-priced, they are commonly referred to as penny stocks. IBKR may make exceptions, including for stocks traded at low prices that recently had a greater market cap. In addition, IBKR will not consider ADRs on non-US companies to be Micro-Cap stocks.

Where do Microcap Stocks trade?
Microcap Stocks typically trade in the OTC market, rather than on a national securities exchange. They are often electronically quoted by market makers on OTC systems such as the OTC Bulletin Board (OTCBB) and the markets administered by the OTC Markets Group (e.g., OTCQX, OTCQB & Pink). Also included in this category are stocks which may not be publicly quoted and which are designated as Caveat Emptor, Other OTC or Grey Market.
In addition, U.S. regulators also consider stocks listed on Nasdaq or NYSE American trading at or below $5 with a market capitalization at or less than $300 million to be Microcap Stocks.

What happens if IBKR receives a transfer from an Eligible Client where one or more of the positions transferred is a Microcap Stock?
If IBKR receives a transfer containing a block of a Microcap stock, IBKR reserves the right to restrict the sale of any Microcap position(s) included in the transfer unless the Eligible Client provides appropriate documentation establishing that the shares were either purchased on the open market (i.e., on a public exchange through another broker) or were registered with the SEC pursuant to an S-1 or similar registration statement.

Eligible Clients can prove that shares were purchased on the open market by providing a brokerage statement or trade confirm from a reputable broker reflecting the purchase of the shares on a public exchange. Eligible Clients can establish that the shares are registered by providing the SEC (Edgar system) File number under which their shares were registered by the company (and any documents necessary to confirm the shares are the ones listed in the registration statement).

NOTE: All customers are free to transfer out any shares we have restricted at any time.

What restrictions will IBKR apply to Prime accounts?
Clients whose activities include Prime services are considered Eligible Clients solely for the purposes of those trades which IBKR has agreed to accept from its executing brokers. However, while Prime accounts may clear U.S. Microcap Stocks at IBKR, those shares will be restricted until such time IBKR confirms that the shares are eligible for re-sale under the procedures discussed above.  To remove the restriction for shares purchased on the open market, please provide an official Account Statement or Trade Confirmation from the executing broker or have the executing broker provide a signed letter, on company letterhead, showing the IBKR account name and number, stating that the shares were purchased in the open market, along with the details of the executions (date, time, quantity, symbol, price, and exchange).  Or if the shares were acquired through an offering the letter must provide documents or links to the relevant registration statement and state that the shares were part of it.

To summarize: Sell Long trades will be accepted if the long position is no longer restricted.  Sell Short trades will be accepted.  Buy Long trades will be accepted and the position will be restricted until Compliance is provided with sufficient information to remove the restriction.  Buy Cover trades and intraday round trip trades will not be accepted.


What happens if a stock you purchase gets reclassified as Grey Market or Caveat Emptor?

If you purchase a stock in your IBKR account that at a later date becomes classified as a Caveat Emptor or Grey Market stock, you will be allowed to maintain, close or transfer the position but will not be able to increase your position.


What are some of the reasons why Microcap Stock trading may be restricted in my account?
There are two primary reasons why you might be restricted from trading in a Microcap Stock:

  • Potential Affiliation to Issuer: U.S. Securities and Exchange Commission (“SEC”) Rule 144 places certain limitations on trading of stocks (including Microcap Stocks) by an “affiliate” of the issuer. If IBKR observes trading activity or holdings in a Microcap Stock that are close to the trading volume thresholds under Rule 144 (“Rule 144 Thresholds”), IBKR may restrict the customer from trading the Microcap Stock until a compliance review is completed.
  • Transfer of Microcap Stock: If the customer has recently transferred a Microcap Stock into their IBKR account, IBKR may restrict the customer from trading in that security until a compliance review is completed.

If one of the above reasons apply, trading will be restricted in the security and a notification will be sent to the customer’s message center in Account Management. This notification will describe the reason for the restriction and the steps the customer must take before IBKR will consider lifting the restriction.


Why does IBKR consider me to be a potential affiliate of a Microcap Stock issuer?
An “affiliate” is a person, such as an executive officer, a director or large shareholder, in a relationship of control with the issuer.

Rule 144 applies to all securities, including Microcap Stocks. However, given the heightened risks associated with trading Microcap Stocks, if a customer’s trading and/or holdings in a Microcap Stock are close to the Rule 144 Thresholds, IBKR will restrict the customer’s trading in the Microcap Stock.  This restriction will remain in effect pending a compliance review into the customer’s potential affiliate status.

For the Potential Affiliate review, why do I need to ask for a new review every two weeks?
A customer’s affiliate status may change soon after IBKR completes the above-referenced Potential Affiliate review. As such, IBKR believes it is appropriate to refresh a Potential Affiliate review every two weeks if a customer’s trading activity and/or holdings in the Microcap Stock remain close to the Rule 144 Thresholds.

Where can I find a list of stocks that IBKR has designated as U.S. Microcaps?
A list of stocks designated as U.S. Microcaps by IBKR is available via the following link: www.ibkr.com/download/us_microcaps.csv

Note that this list is updated daily.

Where can I find additional information on Microcap Stocks?
Additional information on Microcap Stocks, including risks associated with such stocks may be found on the SEC website: https://www.sec.gov/reportspubs/investor-publications/investorpubsmicrocapstockhtm.html
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1This includes transfers by any method (e.g., ACATS, DWAC, FOP), conversion of Canadian listings to their U.S. equivalent via “Southbound” transfer, transfers to cover existing short positions, IB Prime customers executing with other brokers and clearing to IBKR, etc.

 

South African Rand (ZAR) - Onshore/Offshore

Overview: 

Explanation of Onshore/Offshore South African Rand (ZAR)

Background

The South African Reserve Bank (SARB) has currency exchange control rules in place for South African residents. A South African resident is a person (i.e. a natural person, body corporate, foundation, trust or partnership) whether of South African or any other nationality who has taken up residence, is domiciled or registered in the Republic of South Africa (RSA). A resident account is also the account of persons resident, domiciled or registered in the Common Monetary Area (CMA). The CMA comprises of the Republic of South Africa, Lesotho, Namibia and Swaziland. There are no exchange control restrictions between the members of the CMA and they form a single exchange control territory.

The rules stipulate that there is a yearly limit placed on the amount of ZAR that can be taken out of the country by South African residents – i.e. taken "Offshore". ZAR that remain in South Africa are deemed “Onshore”.

Each resident can take the following amounts offshore per calendar year:

  • ZAR 1 million can be taken offshore as a “Single Discretionary Allowance”
  • ZAR 10 million can be taken offshore as an “Foreign Capital Allowance”

Only institutions licensed as “Authorised Dealers” (AD) are able to send ZAR outside of South Africa and so offshore. An AD is responsible for reporting the offshoring of any ZAR to the SARB. As a result, residents sending ZAR offshore must accurately state the purpose for which the ZAR is being sent. Residents must receive approval from an AD before they are able to send any ZAR offshore. Prior to taking ZAR offshore as part of the Foreign Capital Allowance, residents must also have additional clearance from the SA tax authorities.

The full exchange control rulebook from the SARB can be found here: https://www.resbank.co.za/RegulationAndSupervision/FinancialSurveillanceAndExchangeControl/EXCMan/Pages/default.aspx

Current Situation

Our cashiering account is a non-resident account. Therefore, we are permitted to:

  • Receive deposits in ZAR from other non-resident accounts.
  • Disburse ZAR from our cashiering account to non-resident accounts.
  • Receive deposits from accounts of South African residents.
  • Disburse ZAR to accounts of South African residents.
     

盈透证券欢迎您

Overview: 

现在您的账户已完成入金并获批,您可以开始交易了。以下信息可以帮助您入门。

  1. 您的资金
  2. 设置您的账户以进行交易
  3. 如何交易
  4. 在全球范围进行交易
  5. 拓展您IB经验的五个要点

 

 

1. 您的资金
存款&取款基本信息。所有转账都通过您的账户管理进行管理
存款
首先,通过您的账户管理 > 资金 > 资金转账 > 转账类型:“存款”创建一个存款通知(如何创建存款通知)。 第二步,通知您的银行进行电汇转账,在存款通知中提供详细银行信息。
取款
通过您的账户管理 > 资金 > 资金转账 > 转账类型:“取款”创建一个取款指令(如何创建取款指令
如果您通知要进行超出取款限额的取款,则会被视为异常取款,我们因此将需要匹配银行账户持有人和IB账户。如果目的地银行账户已被用作存款,那么取款将会被处理;否则,您必须联系客户服务并提供所需文件。
错误排查
存款:我的银行发出了资金,但我没有看到资金记入我的IB账户。可能的原因:
a) 资金转账需要1至4个工作日。
b) 存款通知缺失。您必须通过账户管理创建存款通知并向客户服务发送一条咨询单。
c) 修改详情缺失。转账详情中缺失您的姓名或IB账户号码。您必须联系您的银行索取完整的修改详情。
d) IB发起的ACH存款7个工作日内限额为10万美元。如果您开立的是初始要求为11万美元的投资组合保证金账户,最好选择电汇存款以减少您第一笔交易的等待时间。如果选择ACH,会需要等待近2周时间,或者可以选择临时升级至RegT。
取款:我已经请求了取款,但我没有看到资金记入我的银行账户。可能的原因:
a) 资金转账需要1至4个工作日。
b) 被拒。超出最大取款限额。请检查您账户的现金余额。注意,出于监管要求,存入资金时会有三天置存期,之后才可以被取出。
c) 您的银行退回了资金。可能是因为接收银行账户与汇款银行账户名称不匹配。

 

2. 设置您的账户以进行交易
现金与保证金账户的区别:如果您选择快速申请,默认您的账户类型为配备美国股票许可的现金账户。如果您想使用杠杆并以保证金交易,参见此处如何升级为RegT保证金账户
交易许可
为了能够交易特定国家的某一特定资产类别,您需要通过账户管理获得该资产类别的交易许可。请注意,交易许可是免费的。但您可能需要签署当地监管部门所要求的风险披露。如何请求交易许可
市场数据
如果想获取某一特定产品/交易所的实时市场数据,您需要订阅交易所收费的市场数据包。如何订阅市场数据
市场数据助手会帮助您选择正确的数据包。请观看该视频,其解释了市场数据助手是如何工作的。
客户可以通过从未订阅的代码行点击免费延时数据按钮选择接收免费的延时市场数据。
顾问账户
请阅读用户指南顾问入门指南。在这里,您可以看到如何向您的顾问账户创建其他使用者以及如何授予其访问权限等等。

 

3. 如何交易

如果想学习如何使用我们的交易平台,您可以访问交易者大学。在这里您可以找到我们以10种语言提供的实时与录制网研会以及有关交易平台的课程与文档。
交易者工作站(TWS)
要求更高级交易工具的交易者可以使用我们做市商设计的交易者工作站(TWS)。TWS有着便于操作的电子表格式界面,可优化您的交易速度和效率,支持60多种定单类型,配备可适应任何交易风格的特定任务交易工具,并可实时监控账户余额与活动。试试两种不同模式:
魔方TWS:直观可用性,简便的交易准入,定单管理,自选列表与图表全部在一个窗口呈现。
标准模式TWS:为需要更高级工具与算法的交易者提供高级定单管理。
基本描述与信息 / 快速入门指南 / 用户指南
互动课程:TWS基础 / TWS设置 / 魔方TWS
如何下单交易:标准模式TWS视频 / 魔方TWS视频
交易工具:基本描述与信息用户指南
要求:如何安装适用于Windows的Java / 如何安装适用于MAC的Java / 需打开端口4000和4001
登录TWS / 下载TWS
网络交易者(WebTrader)
偏好干净简洁界面的交易者可以使用我们基于HTML的网络交易者。网络交易者便于查看市场数据、提交定单以及监控您的账户与执行。从各浏览器使用最新版本网络交易者
快速入门指南 / 网络交易者用户指南
简介:网络交易者视频
如何下单交易:网络交易者视频
登录网络交易者
移动交易者(MobileTrader)
我们的移动解决方案可供您随时随地用您的IB账户进行交易。IB TWS iOS版和IB TWS BlackBerry版是为这些型号定制设计的,而通用的移动交易者支持大多数其他智能手机。
基本描述与信息
定单类型 可用定单类型与描述 / 视频 / 课程 / 用户指南
模拟交易 基本描述与信息 / 如何获得模拟交易账户
一旦您的模拟交易账户创建成功,您便可用模拟交易账户分享您真实账户的市场数据:账户管理 > 管理账户 > 设置 > 模拟交易

 
4. 在全球范围进行交易
IB账户为多币种账户。您的账户可以同时持有不同的货币,可供您从一个账户交易全球范围内的多种产品。
基础货币
您的基础货币决定了您报表的转换货币以及用于确定保证金要求的货币。基础货币在您开立账户时决定。客户随时可通过账户管理改变其基础货币。
我们不会自动将货币转换为您的基础货币
货币转换必须由客户手动完成。在该视频中,您可以学习如何进行货币转换。
要开仓以您账户所不持有之货币计价的头寸,您可以有以下两种选择:
A) 货币转换。
B) IB保证金贷款。(对现金账户不可用)
请查看该课程,其解释了外汇交易方法。

 

5. 拓展您IB经验的五个要点
1. 合约搜索
在这里,您会找到我们的所有产品、代码与说明。
2. IB知识库
IB知识库包含了一系列术语、指导性文章、错误排查技巧以及指南,旨在帮助IB客户管理其IB账户。只需在搜索按钮输入您想要了解的内容,您便会得到答案。
3. 账户管理
我们的交易平台可供您访问市场,账户管理则可供您访问自己的IB账户。使用账户管理可管理账户相关任务,如存入或取出资金、查看您的报表、修改市场数据与新闻订阅、更改交易许可并验证或更改您的个人信息。
登录账户管理 / 账户管理快速入门指南 / 账户管理用户指南
4. 安全登录系统
为向您提供最高级别的在线安全,盈透证券推出了安全登录系统(SLS),通过安全登录系统访问账户需要进行双因素验证。双因素验证旨在于登录时采用两项安全因素确认您的身份:1)您的用户名与密码组合;和2)生成随机、一次性安全代码的安全设备。因为登录账户需要既知晓您的用户名/密码又持有实物安全设备,所以参加安全登录系统基本上可以杜绝除您之外的其他任何人访问您账户的可能性。
如何激活您的安全设备 / 如何获取安全代码卡 / 如何退还安全设备
如果忘记密码或丢失安全代码卡,请联系我们获取即时帮助。
5. 报表与报告
我们的报表与报告方便查看和进行自定义,覆盖了您盈透账户的方方面面。如何查看活动报表

 

如何通过银行电汇转账存入资金?

要向账户进行电汇存款,您首先需要通过客户端提供存款通知。登录客户端后依次选择转账与支付>转账资金菜单选项。在这里,转账类型选择“存入资金”,存款方式选择“银行电汇”。

系统会提示您输入发款银行详细信息,包括存款金额、币种和汇款机构。您完成信息填写后,系统会以可打印的形式显示所有详细信息(如,ABA号码、Swift BIC代码以及银行账户号码),您可将这些信息提供给银行以发起电汇转账。

请注意,创建存款通知至关重要,因为您的银行在电汇资金时所需要的信息会因电汇币种的不同而不同。此外,存款通知还可帮助确保资金到达后立即匹配到您的账户。

如还有其它疑问,请联系我们的客户服务中心。您可从以下网站链接查看我们的联系方式和工作时间:https://individuals.interactivebrokers.com/cn/index.php?f=2440

Depositing Shares Held in the Direct Registration System (DRS)

Overview
The Direct Registration System (DRS) allows shareholders to register their U.S. share holdings on the books and records of the issuer in an electronic rather than paper certificate form through the issuer’s designated transfer agent. Once held in a DRS account, the shares may then be transferred electronically via the Depository Trust Company (DTC) to your IB account where transactions may take place or where the shares may be afforded margin loan value.

It should be noted that not all shares are DRS eligible. In general, most U.S. exchange traded securities are, but many OTC shares, as well as shares subject to a restriction and therefore held in certificate form, are not.

Transfer Process
To deposit shares held in your DRS account to your IB account you will need to log into Account Management and create transfer instructions. These instructions require that you provide IB with certain information regarding your DRS account (e.g., account number and taxpayer ID) which you will need to obtain from and/or confirm with your transfer agent. It’s important that you provide IB with information which matches that of your DRS account, otherwise your transfer agent will reject the request and you will be charged a rejection fee. Information regarding fees for rejected as well as settled transactions are posted on the website.

Once the DRS account information has been confirmed, log into Account Management and proceed as follows:

1. Select the Funding and then Position Transfers menu options;

2. From the Position Transfer screen, select a transfer method of DRS-Direct Registration System and transfer type of Deposit via the drop-down menus;

3. You’ll be directed to the DRS Transfer screen where the taxpayer ID you’ve provided to IB is displayed. If this does not match that which you maintain for your DRS account, you will first need to reconcile and correct the information so it matches prior to proceeding with the transfer request. Requests submitted with a mismatched taxpayer ID will result in the transfer being rejected by your transfer agent and your account being subject to a rejection processing fee;

4. Enter your DRS account number and click the Continue button. Note that requests submitted with an account number that doesn't match that of your DRS account will result in the transfer being rejected by your transfer agent and your account being subject to a rejection processing fee;

5. Enter the symbol of the security you intend to transfer as well as the share quantity. Note that requests submitted with a symbol not held within or a share quantity which exceeds that held in your DRS account will result in the transfer being rejected by your transfer agent and your account being subject to a rejection processing fee;

6. Enter your electronic signature and click the “Continue” button to confirm your transfer request.

IB will then notify DTC who will match the security to its associated transfer agent and send them notification of your request. Assuming the DRS account and share information you’ve provided is correct, the transfer agent will post the shares for delivery to IB.  Note that while transfer requests typically settle within 2 -5 business days, the transfer agent may take longer to respond to the notification and, if no response is received within 30 days, the request will be canceled.


IMPORTANT NOTE
If you are transferring shares from a joint account or are a non-US person, special consideration needs to be provided to the taxpayer ID you provide to IB for matching to your DRS account. In the case of a joint account, the ID will generally be one of the SSNs of the joint account holders or a default value of 999999999. In the case of a non-US person, where no US taxpayer ID exists, a default value of 111111111 is often used. In either case, you will need to verify with the transfer agent the identifier they will recognize for matching purposes. If the transfer agent requests an identifier which doesn’t match one of the elections provided within Account Management, please contact Customer Service for transfer assistance.

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