The Securities and Exchange Commission, the NYSE and FINRA require all registered broker-dealers to disclose certain policies to their customers. Please follow the links below to learn more.
- Policy regarding receipt of "Payment for Order Flow"
- Order Routing Policy (SEC Rule 606)
(On request of a customer Lek Securities 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
- Truth in Lending Statement
- Initial Margin Disclosure Statement
- Day Trading Risk Disclosure Statement
- Statement of Additional Risks Associated with Trading in the Premarket Session or Post-Market Session
- How Automated Random Assignment Works at Lek Securities Corporation
Special Disclosures for Option Traders
- Characteristics and Risks of Standardized Options
Prior to buying or selling an option, investors must read a copy of this disclosure document. It explains the characteristics and risks of exchange traded options.
- Special Statement for Uncovered Options Writers
- March 2011 Supplement to Characteristics and Risks of Standardized Options