CAT REPORTING ELECTION AGREEMENT
1. Introduction
1. Reference is made to that certain Interactive Brokers Institutional Services
Customer Agreement and/or Interactive Brokers LLC Customer Agreement(collectively, the "IBKR Customer Agreement") between Interactive Brokers LLC("IBKR") and ____________________________ ("Client"); and to that certain
Interactive Brokers Fully Disclosed Clearing Agreement and/or InteractiveBrokers Consolidated Account Clearing Agreement (collectively, the "IBKR
Clearing Agreement") between IBKR and Client.
2. This agreement ("Agreement") sets forth the terms under which IBKR shallprovide certain CAT Reporting Agent services ("CAT Reporting Services") to
Client for orders placed on IBKR's systems or through IBKR's systems. ThisAgreement is a supplement to various agreements entered into between IBKR andClient (including, without limitation, the IBKR Customer Agreement and theIBKR Clearing Agreement, as applicable, and collectively the "Brokerage
Services Agreements"), and this Agreement is hereby incorporated into theBrokerage Services Agreements as a supplement thereto.
3. With respect to CAT Reporting Services, if the terms of this Agreement conflictwith the terms of any other agreement between IBKR and Client, the terms of thisAgreement shall control.
4. Client designates IBKR to generate CAT records on its behalf for certain CAT
Reportable Events and, to the extent further designated in the attachments hereto,
to be its CAT Reporting Agent for some or all of such CAT records, inaccordance with the terms and conditions herein.
2. Definitions:
1. CAT - The consolidated audit trail contemplated by Rule 613 of SEC Regulation
NMS.
2. CAT Reporting Agent - A Data Submitter that is a third party that enters into anagreement with an Industry Member pursuant to which the CAT Reporting Agentagrees to report CAT data to the Central Repository on behalf of such Industry
Member.

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3. Central Repository - The repository responsible for the receipt, consolidation, andretention of all information reported to the CAT pursuant to Rule 613 of SEC
Regulation NMS and the CAT NMS Plan.
4. Data Submitter - Any person that reports data to the Central Repository, including
broker-dealers, and certain other vendors or third parties that may submit data tothe Central Repository on behalf of Industry Members.
5. Industry Member - A member of a national securities exchange or a member of anational securities association that is required to record and report information
pursuant to the CAT NMS Plan and FINRA Rule 6800 Series.
6. Reportable Events - Includes, but is not limited to, the original receipt ororigination, modification, cancellation, routing, execution (in whole or in part)and allocation of an order, and receipt of a routed order.
3. Representations and Covenants of IBKR
1. With respect to Client's Reportable Events covered by this Agreement, IBKR will
create reports of CAT Reportable Events ("Reports") on behalf of Client incompliance with CAT rules and technical specifications and any subsequent
modifications thereto, and will, to the extent Client so elects in Attachment B
and/or C hereto, submit such covered Reports to either the Central Repository as a
CAT Reporting Agent for Client or to a designated third-party.
2. IBKR acknowledges that all records of Reportable Events prepared on behalf ofClient and maintained by IBKR are the property of Client and shall besurrendered promptly upon Client's request.
3. IBKR agrees to permit examination of any records of Client's Reportable Events
prepared on behalf of Client and maintained by IBKR at any time during businesshours by representatives of CAT LLC and any SRO CAT participant and topromptly furnish true, correct, complete, and current digital copy of any or all of
any part of these records.
4. IBKR represents that it has processes and procedures in place reasonably
designed to help ensure compliance with CAT requirements. Please consult theGuide to IBKR CAT Reporting Capabilities and Best Practices available on theIBKR website.
5. IBKR promptly will notify Client upon the occurrence of any event thatmaterially limits IBKR's ability to submit CAT reports on behalf of Client.
4. Representations and Covenants of Client
1. Client acknowledges that this Agreement and the CAT reporting arrangement
contained herein does not relieve Client, as an Industry Member, from its
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responsibilities under the CAT rules or its liability for infractions of the CAT
rules, even for Reports made by IBKR as CAT Reporting Agent for Client
pursuant to this Agreement.
2. Client represents that it has written supervisory procedures in place to ensure that
the CAT information reported to FINRA by IBKR on Client's behalf is timely,accurate and complete.
3. The Client acknowledges that IBKR does not report to the Central Repository or
designated third-party destination any CAT records for Client activity or businessthat was not conducted through the IBKR systems.
4. The Client acknowledges that IBKR does not report to the Central Repository or
to the designated third-party destination for the purposes of production reporting
until IBKR has conducted a successful certification test.
5. Allocation of Responsibilities
1. Client will file as necessary documents with FINRA identifying IBKR as the CAT
Reporting Agent for Client if designated in Attachment C.
2. Client will clearly designate to IBKR those Reportable Events for which Clientwishes IBKR to generate CAT Reports and/or to submit such Reports to theCentral Repository. If Client's Reportable Events include both equities andoptions activities then IBKR must be designated for both categories of orders.
3. For Client's Reportable Events, Client shall be responsible for providing to IBKR
in a timely manner or ensuring that a third party provides to IBKR in a timely
manner, all information ("Information") necessary for IBKR to timely generateand submit CAT Reports for CAT Reportable Events covered by this Agreement.
For information regarding CAT Reportable Events provided to IBKR by Client or
third parties, Client shall be solely responsible for the completeness, accuracy,
and timeliness of such Information.
4. IBKR shall maintain books and records regarding Client CAT Reportable Events.
On Client's request, IBKR shall provide access to any CAT or order audit trail
records held by IBKR regarding Client's CAT reports. IBKR shall transfer suchrecords to Client on Client's request, and Client shall reimburse IBKR for
reasonable costs incurred by IBKR for such transfer.
5. Client shall review the CAT website for rejections (and the need to submit
appropriate repairs), late reporting, non-reporting, and other reporting infractions
that may be caused by the actions of Client. Client is responsible for repair ofCAT records for Reportable Events in the event of missing data or reporting
infractions caused by the actions of Client. IBKR shall review the CAT website
for any infractions that may be caused by the actions of IBKR. IBKR isresponsible for repair of Client CAT records in the event of missing data or
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reporting infractions caused by IBKR.
6. Other Terms
1. The fee rate for the provision of CAT reporting services for various types ofClient's Reportable Events shall be agreed in advance in writing. Attachment A
hereto specifies the initial fee rates. Client shall make payment of the CAT
reporting fees pursuant to the terms and conditions in Attachment A and theBrokerage Services Agreements relating to payment of fees. Fees for services
provided by IBKR on behalf of Client as its CAT Reporting Agent may bechanged pursuant to notice to Client.
2. IBKR shall not be liable to Client by reason of delays or interruptions of service
or transmissions, or failures of performance of the IBKR system for CAT
reporting, regardless of cause, including, but not limited to, those caused by
employee error; hardware or software malfunction; governmental, exchange orother regulatory action; acts of god, war or terrorism. Client's sole remedies for
IBKR's breach of IBKR's obligations set forth in this Agreement, including butnot limited to any failure by IBKR to submit any required CAT Reports, or for
IBKR's submission of deficient CAT Reports, or for IBKR's failure to repair CATReports, are: (i) to require IBKR to use its best efforts to correct any errors andfile or repair required Reports; or (ii) IBKR's forfeiture of any fees owed byClient for CAT Reportable Events for which IBKR did not file a required Reportor failed to repair an erroneous Report.
3. In no event shall IBKR be liable for any money damages, nor shall IBKR beliable to Client or indemnify Client for any fine or other regulatory action taken
against Client by FINRA or any other regulatory agency or third party in the eventof CAT reporting deficiencies.
4. Either party may terminate this Agreement on 30 days written notice.
5. Any disputes regarding this Agreement or the performance of the parties under
this Agreement shall be resolved pursuant to the arbitration provisions in theBrokerage Services Agreements, which are incorporated herein by reference.

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CAT REPORTER INFORMATIONCAT Reporter IMID on Orders Sent to IBKR:CAT Reporter Name:
CAT Reporter CRD Number:
Legal Entity Identifier (“LEI”) of Account:
Large Trader ID # “LTID” -- 13 characters (e.g., “12345678-0000”):

Contact Person Name:
Contact Person Phone Number:Contact Person Email Address:
CAT Reporter Legal Notice E-mail Address:

Accepted:

Signed:Signed:

Name:

Name:

Title:

Title:

Date:

Date:

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ATTACHMENT A - CAT REPORTING FEESCHEDULE
CAT Reporting Fee per Event$0.00

Accepted:

Signed:Signed:

Name:

Name:

Title:

Title:

Date:

Date:

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6ATTACHMENT B - CAT REPORTING SERVICESDESIGNATION (Limited Reporting)
All terms defined in the CAT Reporting Election Agreement are incorporated herein.
Client has read and understands the foregoing and has determined that it is a CAT Industry
Member and conducts business activity on the IBKR platform for which the Client wishes todesignate IBKR to provide CAT Reporting Services as defined in FINRA Rule 6810 inaccordance with Rule 613 of SEC Regulation NMS.
IBKR Reporting Service Election
Client designates IBKR to perform limited CAT Reporting Services on its behalf.
Client has read and understands the foregoing and affirms that the Client is a self-reporting CAT
Industry Member and that it will meet its CAT submission obligations independently of IBKR.
IBKR will provide CAT Reporting Services to create records for Client's Reportable Events, but
not transmit them to the Central Repository. Client must state in Attachment C the destination towhich CAT records are to be delivered.
Client understands that by electing self-reporting, Client releases IBKR from all liabilities andresponsibilities in connection with Client's Reportable Events. IBKR will not have the ability toreview or fix errors on the CAT Portal with respect to CAT Reports it created but did not submit
to the Central Repository.
Accepted:

Signed:Signed:

Name:

Name:

Title:

Title:

Date:

Date:

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ATTACHMENT C - CAT RECORD
TRANSMISSION INSTRUCTION
Client elects self-reporting status and requests IBKR create CAT Reports for Client's CAT
Reportable Events, but not to act as CAT Reporting Agent for Client.
IBKR will acknowledge the transmission instruction through a test and coordinate with theClient to configure the transmission destination within a reasonable time.
The Client may update this instruction from time to time through the IBKR AccountManagement system or by providing in this document, the secure destination the Clientauthorizes IBKR to deliver the CAT Records.

Destination
Deliver CAT Reports to the IBKR FTP AccountDeliver CAT Reports to a Third-Party Destination
Deliver CAT Reports to both the IBKR FTP Account and Third-Party Destination
Accepted:

Signed:Signed:

Name:

Name:

Title:

Title:

Date:

Date:

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