SUBJECT TO CHANGE
| COMMISSIONS | |
| US Listed & OTC Stocks/ETFs1,2,3,4 | $7.95 |
| Rep-assisted Phone Trade1,2,3,4 | $30 |
| Listed Foreign Securities1 | $50 |
| Canadian1 | $35 |
| Euroclear1 | $35 |
| Physical Settlement Trades3 | $300-$600 (per security, per trade) |
| Low Priced Securities4 | $0.0002/share (5% of principal max) |
| REGULATORY TRADING FEES | |
| SEC1 Sells only (rounded to nearest penny) |
$18.40 / $1,000,000 principal |
| FINRA TAF (Trading Activity Fee)1 (rounded to nearest penny, $5.95 max) |
$0.00019/share |
| ACCOUNT FUNDING/TRANSFERS | |
| ACH Transfer In (ACH Deposit) | $0 |
| ACH Transfer Out (ACH Withdrawal) | $0 |
| Incoming Wire Transfer | $0 |
| Incoming ACAT Transfer | $0 |
| Returned ACH | $35 |
| ACH Notice of Change (NOC) | $5 |
| Prepayment (under $10,000) | $20 |
| Prepayment (over $10,000) | $250 + 0.20% principal |
| Outgoing Wire Transfer | $30 |
| Paper Check Draft (Domestic) | $5 |
| Stop Payments | $30 |
| Outgoing ACAT Transfer (Non-Retirement) | $80 |
| Outgoing ACAT Transfer (Retirement) | $100 |
| Outgoing ACAT Transfer (Partial, per security) | $15 |
| Transfers - Transfer & Ship (per security) | $235 |
| Transfers - Legal (per security) | $150 |
| Transfers - Rush Premium (per security) | $350 |
| Transfers - Restricted (per security) | $250 |
| ACCOUNT MAINTENANCE | |
| Account Maintenance Fee | $0 |
| Account Inactivity Fee | $0 |
| IRA Custodian Fee (annual) | $30 |
| IRA Termination Fee | $60 |
| DWAC (per event) | $50 |
| Voluntary Offer Participation | $55 |
| Dividend Check | $5 |
| Margin Sell Out Fee1 | $25 |
| Short Forced Buy In Fee1 | $25 |
| Paper Confirm Fee (per confirm) | $5 |
| Paper Statement Fee (per statement) | $5 |
| Paper Tax Statement Fee (per statement) | $5 |
| Paper Prospectus Fee (per mailing) | $5 |
| Escheatment Processing (per account) | $75 |
| Escheatment Paper Letter Notice (per envelope) | $2 |
| Returned Mail (per piece) | $2 |
| Escheatment Paper Letter Notice (per envelope) | $2 |
| Safekeeping Service (quarterly, per account, per CUSIP) | $15 |
| Safekeeping - Deposits (per deposit) | $7.50 |
| Safekeeping - Withdrawals (per withdrawal) | $60 |
1 Other Transfer Agent and Trade Settlement charges for certain securities may be passed through to you by our clearing firm, Apex Clearing Corp.
2 SEC Section 31 Fee and FINRA Trading Activity Fee (TAF) are assessed and passed on to the customer for all liquidation orders.
3 Applies to all securities requiring physical settlement, click here for a current list of securities requiring physical settlement.
4 Applies to transactions in excess of 100,000 shares in securities priced under $1.00. Surcharge is $0.0002 per share, with a maximum charge of 5% of the principal value of the transaction.
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