IBKR · CIK 1381197
What Interactive Brokers Group, Inc. told the SEC could break it.
As a fully automated broker, Interactive Brokers depends on its proprietary trading software to process data and execute trades, so a disruption — from corrupted data or a cyber-attack — could cause erroneous trades or force it to suspend services. The rest of its register is regulatory. It must meet SEC and CFTC net-capital and minimum-financial requirements (with subsidiaries also under CIRO, the FCA and others) that constrain its operations and distributions; it self-disclosed sanctions-compliance issues dating to 2016 and in July 2025 settled with OFAC for an $11.8 million penalty; and it flags that escalating U.S.-China tensions and changes in Chinese oversight of the Chinese and Hong Kong capital markets could harm its business and risk the assets it holds in the region.
4 self-disclosed vulnerabilities, pulled from its own filings, each in the company’s words, with the source. This is the risk register almost nobody reads.
In its own words
What could break it.
Regulatory & policy
- broker-dealer / FCM net-capital and global regulatory requirementsmedium
IB LLC is subject to SEC Uniform Net Capital Rule 15c3-1 and CFTC minimum financial requirements, with subsidiaries also under CIRO, FCA and other regulators; these capital rules constrain distributions and operations.
“IB LLC is subject to the Uniform Net Capital Rule (Rule 15c3-1) under the Exchange Act and to the CFTC's minimum financial requirements (Regulation 1.17) under the Commodities Exchange Act.”
SEC filing →As of 2026 - OFAC sanctions compliancemedium
IB LLC self-disclosed sanctions-compliance issues dating to 2016 (facilitating transactions involving OFAC-sanctioned countries/entities) and settled with OFAC for a $11.8M penalty in July 2025.
“On July 15, 2025, OFAC announced that IB LLC had settled the matter and paid OFAC a penalty of $ 11.8 million, concluding the matter.”
Cybersecurity
- reliance on proprietary automated trading softwaremedium
As a fully automated broker, IBKR depends on its computer software to process data and execute trades; disruption or corruption (e.g., erroneous data or cyber-attacks) could cause erroneous trades or service suspension and great financial harm.
“We rely on our computer software to receive and properly process internal and external data. Any disruption in the proper functioning of our software due to, for example, erroneous or corrupted data, or cyber-attacks, may cause us to make erroneous trades or suspend our services and could cause us great financial harm.”
SEC filing →As of 2026
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