| Transaction Type (*) |
AM |
Brokerage (Non-AM) - SSI Fee Schedule |
| Mutual Fund Supermarket Minimum Fees |
|
|
|
No Transaction Fee Fund
|
$0 |
No load/Investor Funds: $50.00/transaction |
|
Transaction Fee Fund
|
$10 |
Institutional (advisor) Funds: $50.00/transaction |
| |
|
|
|
Load Fund (NAV)
|
$10 |
Load Funds - per Share Class (i.e, A, C) schedule |
|
Load Fund
|
N/A |
(See Specific SSI Schedule for class descriptions) |
Stock Transactions (* - Broker Assisted) |
|
|
|
Exchange Listed (<5000sh)
|
$10 |
|
|
Exchange Listed (>5000sh)
|
$10 + $0.0125/sh |
|
|
Non-Exchange Listed
|
$10 |
|
| |
|
Regardless of Share Amount |
|
Transaction size
|
N/A |
Minimum commission: $75.00/transaction |
|
$0 - $1,999
|
|
4.75% of gross transaction
|
|
$2,000 - $3,500
|
|
$75.00 + 1.00% of gross transaction
|
|
Over $3,500
|
|
$125.00 + 1% of gross transaction
|
| |
|
|
|
Listed low-priced securities (under $5.00/sh)
|
|
$0.03/share (minimum $75.00)
|
| |
|
|
|
Online Rate (Non-provided)
|
|
|
Options (*) |
Max: $50 |
Fees Vary - Contact financial consultant |
|
Up to $1 premium
|
$10 + $1.00/ctr |
Minimum: $50/transaction |
|
$1 - $2 premium
|
$10 + $1.25/ctr |
Overriding max commission/contract: $48.00 |
|
Greater than $2 premium
|
$10 + $1.50/ctr |
Fixed Income Securities (*) |
|
Fees Vary - Contact financial consultant |
US Treasury Securities
(including zero-coupon and inflation indexed) |
|
Fixed Income Minimum: $50/transaction
|
|
New issues purchased at auction
|
$15 |
|
|
Existing issues traded on secondary mkt
|
$15 |
|
| |
|
|
| Corporate Bonds |
|
|
|
Exchange Listed
|
$15 |
|
|
Unlisted (OTC)
|
$15 |
|
| |
|
|
| Municipal and US Govt Agency Bonds |
$15 |
|
| |
|
|
| Mortgage-backed securities |
$15 |
|
| |
|
|
| Certificates of Deposit (CDs) |
|
|
|
New Issue - Under 1 year
|
$0, fee paid by issuing bank |
|
|
New Issue - Under 2 years
|
same |
|
|
New Issue - 2 years plus
|
same |
|
|
Secondary issues
|
$15 |
|
| (*) Note: Individual transactions do not reflect the additional $3 posting/service fee allocated from NFS |
| |
|
|
| Account Maintenance Fees |
Per SSI Schedule |
Per SSI Schedule |