Disclosure of Policies

 

The Securities and Exchange Commission, the NYSE and the NASD require all registered broker-dealers to disclose certain policies to their customers.  Please follow the below links to learn more about:

 

Policy regarding receipt of "Payment for Order Flow"

 


Order Routing Policy (SEC Rule 606)

 
On request of a customer LSC will disclose  the identity of the venue to which the customer's orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.

 

Business Continuity Plan

 

Integrated Risk Management Solution for SEC Rule 15C3-5
Risk Management Controls for Brokers or Dealers with Market Access

 

 

 

Important Disclosure Statements

         Special Disclosures for or Option Traders:

 

 
 
 


Lek Securities Corporation
One Liberty Plaza
52nd Floor
New York, NY 10006
212.509.2300