|
| STOCKS |
Online Trades:
 $2.00 or more per share:
| Market Order(1,000 - 5,000 shares)# |
$ 9.95 |
| Market Order(1 - 999 shares)# |
$15.95 |
| Limit Order(1 - 5,000 shares)# |
$18.95 |
|
| Under $2.00 per share: $30.00 |
|
Phone Trades Placed with Live Broker:
| Please check with your broker. If you do not have a broker, please call our client support at 1-888-882-8856 or 1-415-901-0322 |
|
| #Trades over 5,000 shares are charged $0.01 per additional share. |
| |
| OPTIONS |
Online Trades:
| Less than $1.00 per contract: |
$34.00 + $1.20 per contract |
| $1.00 - $3-15/16 per contract: |
$34.00 + $2.00 per contract |
| $4.00 - $6-15/16 per contract: |
$34.00 + $2.80 per contract |
| $7.00 and up per contract: |
$34.00 + $3.20 per contract |
|
| |
Phone Trades Placed with Live Broker:
| Please check with your broker. If you do not have a broker, please call our client support at 1-888-882-8856 or 1-415-901-0322 |
|
| *Commissions and charges are subject to change without notice. |
|
| Schedule of Service Fees* |
|
| Service |
|
Fee |
|
| Money Market Sweep |
|
Free |
| Dividend Reinvestment |
|
Free |
| Check Writing Privilege |
|
First 150 Checks Free |
| Bounced / Returned Check |
|
$25.00/Check |
| Stop Payment Request of Money Market Check |
|
$15.00/Check |
| Copy of Money Market Check |
|
$2.00/Check |
| Copy of Check over 6 Months Old |
|
$15.00/Check |
| Outgoing Money Wire - Domestic
- Foreign |
|
$25.00/Transfer
$45.00/Transfer |
| Overnight Courier / Mail |
|
$25.00/Mail |
| Outgoing ACAT Transfers |
|
$95.00/Account |
| Broker to Broker Transfer (DTC Transfer) |
|
$10.00/Transfer Per Broker |
| Voluntary Reorganizations (tenders, mergers, etc.) |
|
$25.00/Security Issue |
| Post Actionable Reorganizations |
|
$25.00/Security Issue |
| Accommodation Transfers |
|
$25.00/Certificate |
| IRA Termination Fee |
|
$60.00/Account |
| IRA Annual Maintenance Fee |
|
$25.00/Account Yearly |
| Account Inactivity+ |
|
$50.00/Account Yearly |
| Margin Call Mailgram |
|
$5.00/Occurrence |
| Internet Confirmation |
|
$1.00/Confirmation |
| Legal Transfer - Standard or Restricted Stock |
|
$75.00/Certificate |
| Buy-in / Sell-out Notices |
|
$15.00/Notice |
| Called Bonds |
|
$30.00/Call |
| Name Change Request on Stock Certificates: Request to re-register securities in a name other than account registration |
|
$25.00/Request |
| Late Payment Charges |
|
$10.00 + interest |
| Late Certificate Delivery |
|
$10.00 + interest |
|
| |
+Account Inactivity - Exemptions:
- You have an active Margin Account ($1,000 averag* balance)
- IRA/Retirement Account
- You have an account that has $5,000 or more in Money Fund positions
- If your account is either an Advantage or Valet Account.
- You have more than $50,000 invested in Not Transaction Fee (NTF) Funds.
- Accounts within a "Household" where at least one account is exempt from the fee.
* Commissions and charges are subject to change without notice. |
|
| Margin and Cash Debit Interest Rates |
|
| Average debit Balance |
Interest Rate Above Broker's Call Money Rate (BC) |
| Below $15,000 |
BC +3.40% |
| $15,000 - $24,999 |
BC +3.15% |
| $25,000 - $49,999 |
BC +2.90% |
| $50,000 - $99,999 |
BC +2.40% |
| 100,000 and above |
BC +1.90% |
|
