ADR Creation/Cancellation

$35 plus pass thru fee from ADR Sponsor, third parties

DK Items

$20.00 per item

DK Items on DVP Trades

$25 per item plus interest (FFR+5%)

Domestic Voluntary Corp Actions/Reorganization

$50 per cusip per account

DRS Transaction

$75 per security

DTC Free Deliveries

$2 per security

DWAC

$75 per event

DWAC/DRS Reject

$125 per security

Electronic delivery of confirms/statement/tax doc

no charge

Electronic to physical certificate conversion

$900 per security

Escheatment Processing

$75.00 per account

Foreign Security Free Deliveries/Receives

$50 per movement

In-Bound ACATSs

no charge

Out-bound ACATs

$75 per ACAT

In-coming Wire Fees

no charge

International Voluntary Corp Action/Reorganization

$100 per cusip per account

Involuntary Reorgs

waived

Lost Certificate Replacement

3% of certificate value ($250.00 minimum)

Low Priced Securities

$0.0002/shr with 5% notional trade value max.

Margin Extensions

$25 per event

Margin Sell out Fee

$25 per ticket

Margin Rates**

< $25,000 – FFR+700 bps

$25,001 – $100,000 – FFR+600 bps

$100,001 – $250,000 – FFR+500 bps

$250,001 – $1 million – FFR+400 bps

$1 million – $5 million – FFR+300 bps

$5 million and above – FFR+200 bps

Non-transferable stock held

$10 per month per stock

NSCC Illiquidity Fee

$250 per trade plus 15% interest/annum on NSCC charge

Option Exercise/Assignment

$5 per symbol per account

Out-going Wire Fees – Domestic

$20 per wire

Out-going Wire Fees – International

$30 per wire

Overnight mail

as incurred pass thru

Paper check Draft (USD)

$5 per check

Stop payments on Issued Checks

$30 per check

Check Copies

$15 each

Returned Checks/ACH Wires Recalls including Amendments

$30 per transaction

ACH Notice of Correction

$5 per notice

Confirmations

$2 per confirm

Statements

$5 per statement

Paper Prospectus Mailing

$2.50 per mailing

TOD Account Transfer Fee

$200 per transfer

Physical security deposits

not permitted / $500 if exception made

Physical Trade Settlement – not always known upfront

$300 per security 

Postage for Paper confirms

$2 per daily confirm

Postage for Paper statements, tax docs

$5 per item

Reg 144 Sales

fees will vary. Need to confirm in advance

Reorg Physical Processing Fee

$125 plus transfer agent fees

Reorg Wire (UDS)

$20 per item

Reorg Wire (International)

$30 per item

Restricted Transfers

$465 per security

Retirement Accounts

$30 annual maintenance – $60 termination

Returned Mail

$2 per item

Safe Keeping – certificates

$5 per month per account per cusip

Short Buy-in Fee

$25 per ticket

Standard Legal Transfers

$150 per security

Stock Borrow Fee

Fee set by market – pass thru as incurred

Trade Corrections

$10 per item