Data Queries

Instructions

Use the Data Queries feature to run reports based on:

  • Symbol: The report will display any activity in the symbol or if the position was held in the account during the selected time period.
  • Transaction count: The report will show which activity surpasses the threshold. The activity can include trades, dividends, and position transfers but does not include interest.

  1. From the Compliance Portal home page, click the Tools tab.

  2. Click Data Queries.

    The tools data queries option

  3. In Report Type, select Symbol.

    The data queries panel

  4. Click Add/Edit Account(s).

  5. Select one or more accounts and click Continue.

    The data queries report parameters panel.

  6. In Accounts, you will see the account you selected. To add more accounts to the report, click Add/Edit Account(s).
  7. In Asset, click Search. In the asset type pop-up, select Stock, Option, Mutual Fund, Bond or Warrant.

    The asset search panel.

  8. In Search Type, select one of the following:
    • For Stock, Mutual Fund, and Warrant select from Search by Symbol, Search by CUSIP, or Search by ISIN.
    • For Option, Search Type is not needed.
    • For Bond, select from Search by Symbol, Search by CUSIP, Search by ISIN or Search by CINS.
  9. For Option and Warrant:
    • In Option Type, select Put or Call.
    • (Optional) Enter Strike.
    • Enter an Expiration Date.
  10. In the next field, enter the specific symbol.
  11. (Optional) Enter the application Exchange.
  12. Click Search.
  13. If multiple assets matched your search, choose one. This stock information populates the Selected Assets field.
  14. In Period, select Daily or Date Range.
    • If you select Daily, click in the Date field and select a date from the calendar.
    • If you select Date Range, in From Date enter a start date and in To Date enter an end date.
  15. In Search In, select Activity and Positions, Activity, or Positions.
  16. In Format, select the type of report output you would like: HTML/Web, PDF or CSV.
  17. Click Run Report. The Symbol Report appears.
  1. From the Compliance Portal home page, click the Tools tab.
  2. Select Data Queries
  3. In Report Type, select Transaction Count.
  4. Click Add/Edit Account(s).

  5. Select one or more accounts and click Continue.

    The data queries run a report panel.

  6. In Period, select Daily or Date Range.
  7. If you select Daily, click in the Date field and select a date from the calendar.
  8. If you select Date Range, in From Date enter a start date and in To Date enter an end date.
  9. (Optional) Enter a Minimum Count.
  10. In Format, select the type of report output you would like: HTML/Web, PDF or CSV.

  11. Click Run Report. The Transaction Count Report appears.

    A sample data query report

 

Additional Resources

Visit the IBKR Compliance Portal Website