Agreements required for customers using ROX:

• Trading Agreement (Terms and Conditions of Computer Trading and Rox Use)

• Acknowledgement of Trading Agreement (Requires Customer signature)

• NYSE/AMEX Professional Subscriber Agreement

• NYSE/AMEX Nonprofessional User Agreement

Not sure if you are a Professional or Nonprofessional?
Read the policy: Policy - Non-Professional Subscribers

• NASDAQ Subscriber Agreement

• OPRA Professional Subscriber Agreement

• Documents to Avoid Paying Exchange Fees More than Once

Account Opening for Security Accounts (includes tax forms):

• Agreement and Terms of Business for Retail Clients

• Agreement and Terms of Business for Professional Clients

• Privacy Policy of Lek Securities UK Limited

• Consent to Electronic Delivery of Documents

Important information about procedures for opening a new account:
To help the government fight the funding of terrorism and money laundering activities, you will need to provide us with reasonably satisfactory evidence of the identity of your legal entity, directors, officers, associates, employees or agents, and such other matters as we may require in each case.

What this means for you:
When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you.  We may ask to see your passport or other governemnt issued identifying documents.

Disclosures:

• Day Trading Risk Disclosure

• Truth in Lending

• Additional Risks Associated with Trading in the Premarket Session or Post-Market Session

• Special Statement for Uncovered Options Writers

• March 2011 ODD Definitive Supplement

• Characteristics & Risks of Standardized Options

• Acknowledgement of Disclosure Documents

Miscellaneous:

• Customer Non-Compete and Confidentiality Agreement (Use when distributing software tools)

• Questionnaire required to be completed when depositing physical certificates with Lek Securities UK Limited Rev February 2020

• Statement of Source of Funds and Source of Wealth