Error Handling
System Errors
| Error | Description | Notes |
|---|---|---|
| "Encryption Error. Payload was not signed or was signed with an incorrect key." | Incorrect key is being used to encrypt/ signature sign the file. | Review and confirm you are encrypting in Binary format (not in ASCII (text) format). If ASCII, please switch to Binary (in case of gpg, remove –armor flag in the command line). You will encrypt the file with IBKR’s key and you will signature sign with your key. Sample gpg -vv --default-key YourName@PublicKey.com --yes --output testoutput.gpg --batch --passphrase yourpassphrasegoeshere --encrypt --sign -r qa_ibkey-counterparty_20190326.1454@ibkr.com test.zipTo debug the App, we suggest the following:
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| "Error While Processing" | Web-Service is down. |
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| "Error 403 - Access Denied" | Unable to connect. | Please repeat the curl but with verbose output and send it back to us please.
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| <!DOCTYPE HTML PUBLIC "-//IETF//DTD HTML 2.0//EN"> <html><head> <title>401 Authentication Error. Either CSID is incorrect or you are trying to access the service from an unauthorized IP Address.</title> </head><body> <h1>Authentication Error. Either CSID is incorrect or you are trying to access the service from an unauthorized IP Address.</h1> <p>This server could not verify that you are authorized to access the document requested. Either you supplied the wrong credentials (e.g., bad password), or your browser doesn't understand how to supply the credentials required.</p> </body></html> | Invalid CSID OR IP Address | Troubleshooting Steps: Send email to dam@ibkr.com with the following:
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| "Exception occurred on the RMI Server." | IBKR is unable to process the data. | Troubleshooting Steps: Send email to dam@ibkr.com with the following:
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| <!DOCTYPE HTML PUBLIC "-//IETF//DTD HTML 2.0//EN"> <html><head> <title>500 Internal Server Error</title> </head><body> <h1>Internal Server Error</h1> <p>The server encountered an internal error or misconfiguration and was unable to complete your request.</p> <p>Please contact the server administrator at webmaster@interactivebrokers.com to inform them of the time this error occurred, and the actions you performed just before this error.</p> <p>More information about this error may be available in the server error log.</p> <p>Additionally, a 500 Internal Server Error error was encountered while trying to use an ErrorDocument to handle the request.</p> </body></html> . Invalid CSID at IBA.Server.Facade.BaseServices.BrokerService.PostJson[T](User user, String subUrl, Boolean needEncode, String masterAccount, Boolean duplicate) in D:\Sources\iba\sources\IBA.Server\IBA.Server.Facade\BaseServices\BrokerService.cs:line 286 at IBA.Server.Facade.BaseServices.BrokerService.CreateAccount(User user, String masterAccount, Boolean duplicate) in D:\Sources\iba\sources\IBA.Server\IBA.Server.Facade\BaseServices\BrokerService.cs:line 74 | Web-Service is down. |
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Data Validation Errors
If you are unable to resolve the error from the table below, send the <Process_File> associated with the request to dam@ibkr.com.
| Error | Description |
|---|---|
| ORA-06512: at "IBCUST.RETAIL_REQUESTS", line 1974 | <User> is missing from <Users> node. |
| Invalid value for Total Assets in FinancialInformation node. Total Assets must be a positive value. | Invalid value provided for total_assets |
| Must be at least 18 to open account | |
| Marital Status Type for Individual is missing | |
| Employment Type for Individual is missing. | If employment type is missing, blank or invalid the error is thrown |
| Exception for accounts Incorrect Investment Objective specified. occurred. | If Investment Objective is invalid/does not match an accepted value this error is thrown |
| Incorrect Asset Class specified. | If Asset Class attribute inside the Asset experience node is invalid or missing, the following is thrown |
| Asset Experience is missing. | If Asset Experience Nodes are absent from XML, this error is thrown |
| Knowledge level is missing for asset class BOND in AssetExperience node. | If knowledge_level in assetExperience is missing or blank the following error is thrown |
| Years trading is missing for asset class BOND in AssetExperience node. | If years_trading in assetExperience is missing or blank this error is thrown |
| Trades per year is missing for asset class BOND in AssetExperience node. | If trades_per_year in assetExperience is missing or blank this error is thrown |
| Source(s) of Wealth is missing. | If Sources of Wealth are missing, this error is thrown |
| SourcesOfWealth must include SOW-IND-Income when EmploymentType is EMPLOYED. | If Employment type is Employed, then one SOW type must be "Income" |
| Description is missing for Source Type SOW-IND-Other. | If the description is missing for the "Other" SoW type, this error is thrown |
| Source Type for SourceOfWealth is either missing or is invalid. | If the source_type attribute in the SourcesOfWealth node is missing or an invalid value this error is thrown |
| At least one SourceOfWealth must be used to fund the account. | If there are no SourceofWealth nodes or if they are all set to false for funding the account, this error is thrown |
| Percentage is required ONLY when SourceOfWealth is used to fund the account. | If percentage is included (other than 0) for an SoW that is not being used to fund the account, this error is thrown |
| Exception for accounts * Financial Criteria checks for Capabilities failed: {financial=Liquid Net Worth must be greater than USD 20,000.} occurred. | If the liquid net worth value is less than 20,000 then this error is thrown |
| Exception for accounts * Financial Criteria checks for Capabilities failed: {est_net_worth=Your Liquid Net Worth cannot be larger than Net Worth} occurred. | If the net worth is less than the liquid net worth this error is thrown |
| Invalid values for Net Worth, Liquid Net Worth and Annual Net Income in FinancialInformation node. | If net_worth, liquid_net_worth, or annual_net_income are missing from FinancialInformation node this error is thrown |
| <General_Failure>XML NOT valid - null</General_Failure> | If an invalid character is entered in the attributes in financialInformation node the following is thrown (including a letter, comma, space instead of only numbers) |
| American SSN is invalid. | If the SSN attribute in Identification node is blank or invalid this error is thrown |
| <General_Failure>Customer Type null or invalid (not INDIVIDUAL, UGMA, UTMA, JOINT, TRUST or ORG)</General_Failure> | If the type attribute in the customer node is blank or an invalid value this error is thrown |
| Attribute prefix at the Customer level is missing. | If the prefix value is blank or missing this error is thrown |
| NullPointerException | |
| Code is either invalid or is missing in Regulatory Details. | If the code attribute in regulatoryDetails is invalid or blank this error is thrown |
| <General_Failure>XML NOT valid - String index out of range: 0</General_Failure> | If an attribute is blank this error is thrown. Example status is blank within RegulatoryDetail. |
| Account base currency is either missing or is invalid. | If the base_currency in the account node is invalid or missing this error is thrown |
| SSN or EIN must be provided for transfers | if ssn attribute is missing from ExtPostisionTransfer node this error is thrown |
| Fee details type is mandatory and should be in the list of acceptable values. | If type attribute is missing from the automated_fees_details node then this error is thrown |
| Error processing advisor wrap fees: {type=required} | If node automated_fees_details in AdvisorWrapFees node is missing this error is thrown |
| Customer <External_ID> - State code <StateCode> is not valid | If the state code in any node is invalid this error is thrown |
| Name in Native Language is missing for Account Holder | Name in Native Language is missing for Account Holder. |
| Details in NativeName Node must be provided in Native Language for Account Holder. | Values in NativeName node provided in English |
| Name of Individual is missing for Account Holder | Missing Name node |
| Middle Name in English Language for Account Holder is missing. | Middle name is included in NativeName and missing in Name node |
| Middle Name in Native Language for Account Holder is missing. | Middle name is included in Name and missing in NativeName node |
| Date of Birth format for Account Holder is invalid. Expected format is yyyy-mm-dd. |
Error will be thrown if DOB is any value other than yyyy-mm-dd. Following formats are validated for all the test cases listed below.
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| Total Percentage from SourcesOfWealth used to fund the account is 95%. It MUST add to 100%. | If SOW percentage doesnt add to exactly 100%, this error is thrown |
| Employer country and residence country details is mandatory for Account Holder. | Country of employment is different from the country of residence and emplcountry_rescountry_details is missing from EmploymentDetails node. |
| Prohibited Country Questionnaire is mandatory for Account Holder | Triggered if CountryOfBirth is a 'Prohibited Country'and ProhibitedCountryQuestionnaire is missing. |
| PO Box not accepted as residential address | We validate street_1 and street_2 to ensure that PO Box is not being provided within Residence node. Refer to validations. |
| Advisors must specify the fees scheme for the acct | Advisors may charge their clients for services rendered either through automatic billing, electronic invoice or direct billing. You determine the advisor fees at the time of the client's registration, and may modify these at any time in Account Management. The fee will be specified within the Accounts Node using AdvisorWrapFees OR Fees. |
| Prohibited Country Questionnaire is mandatory for Account Holder | If citizenship, citizenship2, citizenship3 or CountryOfBirthis prohibited country then ProhibitedCountryQuestionnaire is required. |
| Mobile Number <InsertNumber> is invalid. | Phone Number provided is invalid. We use Google API to validate the Phone Number. The API allows for country code to be passed along with the phone number, details are outlined Phone. Google Phone Library to version 8.12.2 (https://github.com/google/libphonenumber). |
| Foreign Tax Id must be atleast 6 alphanumeric characters in FormW8BEN for Account Holder | foreign_tax_id within <W8Ben> needs to be greater than 6 characters. |
| Part_2_9a_country is a Non treaty Country in FormW8BEN for Account Holder | part_2_9a_country within W8Ben does not have a tax treaty with the United States. N/A is acceptable for part_2_9a country AND treaty_country.
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| Residential and Employer Address for Individual are same. | If EmploymentType=“EMPLOYED" o employer_address cannot be the same as Residence OR MailingAddress otherwise you will receive an error. If the applicant works remotely, please provide the Legal Address of the Employer. EmploymentType="SELFEMPLOYED" THEN employer_address can be the same as Residence OR MailingAddress. |
| All usernames starting with the prefix, <InsertPrefixHere> are already taken. Please use a different prefix. | Indicate that all valid combinations (000 – 999) have been taken for that specific prefix. Please fix the prefix included within <Customer> and <Users > node and resubmit. |
| Following US Indicia checks came back positive. | For Non-US Applicants, US Indicia check will come back positive IF any of the below conditions are met:
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| Already Processed | external_id must be unique for each request. If the external_id has already been processed; you will receive error “Already Processed" Please resubmit the request using a new unique external_id. /getResponseFile can be used to pull application details based on external_id. |
| Unable to process documents::java.sql.SQLIntegrityConstraintViolationException: ORA-02291: integrity constraint (IBCUST.TOSEND_FKDOCUMENTID) violated - parent key not found | file_name within Documents exceeds 20 characters. |
| Proof of Identity Type (Form 8001) is either missing or is incorrect | proof_of_identity_type within Documents is not valid or is missing. The data is space and case sensitive. |
| Proof of Address Type (Form 8002) is either missing or is incorrect | proof_of_address_type within Documents is not valid or is missing. The data is space and case sensitive. |
| Signature not accepted. | SignedBy within Documents must match the submitted: first name middle initial (if applicable) last name suffix (if applicable). The data is case and space sensitive. |
| Unable to process documents::Invalid XML. Form No is not specified OR Document not approved. Please check the XML. | Invalid XML - within Documents, form_no, exec_login_ts and exec_ts attributes are missing. |
| I/O error file processing | This error is triggered when the file_name included in the <Documents> section of the XML application is not submitted to IBKR. Resubmit the form to IBKR using DocumentSubmission via /update |
| File has a different SHA-1 check sum in the archived original | This error is triggered when the sha1_checksum stored in the database is different from the sha1_checksum that is stored in the database. Error is triggered when an outdated document is submitted. Pull the updated form from public FTP (ftp://ftp2.interactivebrokers.com/outgoing/Forms/) AND resubmit the form to IBKR using DocumentSubmission via /update |
| Local Tax Form is missing for TaxAuthority AUSTRALIA_TA Local Tax Form is missing for TaxAuthority CANADA_TA | This error is triggered when Canada or Australia permissions are requested AND LocalTaxForms is missing from W8Ben node. |
| Expiration Date for Identification Document (Form 8001) | Expiration Date for Proof of Identity document is required of proof_of_identity_type is Passport OR Drivers License |
| Expiration Date for Identification Document (Form 8001) must be a future date. | Expiration Date for the Proof of Identity document cannot be in the past. |
| Contains non ASCII character. | Only ASCII Characters are supported. Error will be thrown if Non-ASCII characters are included. |
| Employer country and residence country details is mandatory for Account Holder | When the country included within <Residence> node is different from the country included within <employer_address> node, THEN emplcountry_rescountry_details is required within the <EmploymentDetails> node. |
| Unable to determine client IB entity. Kindly provide valid Residence country and Legal Residence Country. |
Advisor/broker cannot open an account for the applicant due to the LegalResidenceCountry or country within <Residence> of the applicant. United States: Available to U.S. based IB-LLC advisors/brokers only. Canada: Available to IB-CAN advisors/brokers only. Hong Kong: Available to IB-HK advisors/brokers only. Australia: Available to IB-AU advisors/brokers only. Japan: Available to IBLLC advisors/brokers that are FSA Registered only. United Kingdom: Available to IB-UK advisors/brokers only. Singapore: Available to IB-SG advisors/brokers only. EEA: Available to IB-IE or IB-CE advisors/brokers only.
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| Prohibited Country listed Residence / Employer Address / Mailing Address. | [Residence/ Employer Address/ Mailing Address] <CountryCode> for Account Holder is prohibited. |
| Description for Occupation is missing for Account Holder with external id .. | Error triggered if 'other' is provided as employer_business OR occupation AND description is missing. See EmploymentDetails |
